Risk Alerts

The Division of Examinations regularly issues Risk Alerts to remind firms of their obligations under the federal securities laws and help them improve their systems, policies, and procedures. 

Title Date
The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers
Multi-Branch Adviser Initiative (PDF)
Examining Whistleblower Rule Compliance
Examinations of Supervision Practices at Registered Investment Advisers
Share Class Initiative
Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers
Cybersecurity Examination Initiative
Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products
Retirement-Targeted Industry Reviews and Examinations Initiative
Never-Before-Examined Registered Investment Company Initiative
Cybersecurity Examination Sweep Summary
Broker-Dealer Controls Regarding Customer Sales of Microcap Securities
Cybersecurity Initiative
Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers
Rule 105 of Regulation M: Short Selling in Connection With a Public Offering
SEC Examinations of Business Continuity Plans of Certain Advisers Following Operational Disruptions Caused by Weather-Related Events Last Year
Strengthening Practices for Preventing and Detecting Illegal Options Trading Used to Reset Reg SHO Close-Out Obligations
Significant Deficiencies Involving Adviser Custody and Safety of Client Assets
"Pay-to-Play" Prohibitions for Brokers, Dealers, and Municipal Securities Dealers Under MSRB Rules
Strengthening Practices for the Underwriting of Municipal Securities
Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities
Investment Adviser Use of Social Media
Broker-Dealer Branch Inspections
Master/Sub-Accounts

Last Reviewed or Updated: June 28, 2024