What's New

Date Title Division/Office
Compliance: Staying on Mission Agency-Wide
Registered Investment Companies:  Review of Certain Core Areas and Associated Documents Requested Examinations
SEC Division of Examinations Announces 2025 Priorities Examinations
Richard R. Best Named Senior Advisor to the Director of the Division of Examinations Examinations
SEC to Hold Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers Examinations
Keith E. Cassidy Named Interim Acting Director of the Division of Examinations Examinations
Broker-Dealers: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents Compliance Inspections and Examinations Examinations
Initial Observations Regarding Advisers Act Marketing Rule Compliance Compliance Inspections and Examinations Examinations
Shortening the Securities Transaction Settlement Cycle Compliance Inspections and Examinations Examinations
Observations Related to Security-Based Swap Dealers Compliance Inspections and Examinations Examinations
Denver Regional Office Compliance Outreach: Registration is now open for the in-person events to be held on October 24th (Denver) and October 26th (Salt Lake City) Compliance Inspections and Examinations Examinations
Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents Compliance Inspections and Examinations Examinations
Observations From Anti-Money Laundering Compliance Examinations of Broker-Dealers Compliance Inspections and Examinations Examinations
Examinations Focused on Additional Areas of the Adviser Marketing Rule Compliance Inspections and Examinations Examinations
Risk Alert: Observations from Examinations of Investment Advisers and Investment Companies Concerning LIBOR-Transition Preparedness Compliance Inspections and Examinations Examinations
Risk Alert: Safeguarding Customer Records and Information at Branch Offices Compliance Inspections and Examinations Examinations
Observations From Examinations of Newly-Registered Advisers Compliance Inspections and Examinations
SEC Division of Examinations Announces 2023 Priorities Examinations
Observations from Broker-Dealer Examinations Related to Regulation Best Interest Compliance Inspections and Examinations
Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-ID Compliance Inspections and Examinations

Last Reviewed or Updated: June 28, 2024