SEC exam Tag

The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021.  On September…

How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…

In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…

The SEC met its stated fiscal year 2016 goal by examining 11 percent of the investment adviser pool, meaning over 1,300 advisers were covered.