Resource List: Common Deficiencies
May 16, 2024
Advisory Fees
- Risk Alert: Investment Advisers’ Fee Calculations
- Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues
Broker-Dealers
- Risk Alert: Observations from Anti-Money Laundering Compliance Exams of Broker-Dealers
- Risk Alert: Safeguarding Customer Records and Information at Branch Offices
- Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest
- Risk Alert: Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
- Risk Alert: Examinations that Focus on Compliance with Regulation Best Interest
- Risk Alert: Examinations that Focus on Compliance with Form CRS
- Division of Trading and Markets: Frequently Asked Questions
Compliance
- Risk Alert: Observations of Investment Adviser Compliance Programs
- Risk Alert: Observations of Investment Advisers Operating From Multiple Branch Offices
- Risk Alert: Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers
- Risk Alert: Observations From Examinations of Investment Advisers
Custody
Form ADV
Marketing
- Frequently Asked Questions on Marketing Compliance
- Risk Alert: Marketing Rule Compliance
- Risk Alert: Exams Focused on Additional Areas of Marketing Rule
- Risk Alert: Exams Focused on Marketing Rule
Portfolio Management: Share Classes
Private Funds
Last Reviewed or Updated: Feb. 19, 2026