What's New

Date Title Division/Office
Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities Examinations
Open Letter to CEOs of All SEC-Registered, FINRA Member Broker-Dealers Examinations
Letter to FINRA: Implementation of the SEC's Request to FINRA Member Broker-Dealers Regarding an Amendment to 31 C.F.R. § 1023.320, Confidentiality of Suspicious Activity Reports Examinations
Investment Adviser Use of Social Media Examinations
Closed-End Fund Information Investment Management
Summary Metrics by Decile and Quartile Public Affairs
SEC Staff to Release Filing Review Correspondence Earlier Corporation Finance Investment Management
Broker-Dealer Branch Inspections Examinations
Master/Sub-Accounts Examinations
Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 Agency-Wide
Tip, Complaint, or Referral Agency-Wide
Revised Statement on Well-Known Seasoned Issuer Waivers Corporation Finance
Notification of Completion of Exchange Act Filing Reviews Corporation Finance
Mutual Fund Prospectus Risk/Return Summary Data Sets Economic and Risk Analysis
Form N-MFP Data Sets Economic and Risk Analysis
seniorspracticesreport081210.pdf Examinations
Form D Data Sets Structured Disclosure
Financial Statement Data Sets Economic and Risk Analysis
Financial Statement Data Sets Archive Economic and Risk Analysis
"Dear CEO" Letter Regarding the Importance of Compliance Programs Examinations