Regulatory Examinations

On November 17, 2025, the SEC Division of Examinations (the “Division”) issued its annual Examination Priorities (“Exam Priorities”) for fiscal…

On October 21, 2024, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released its annual examination priorities for…

Being fired is never easy, but it is a particularly challenging and uncertain time for licensed financial advisors and their…

On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations (“DOE”), formerly the Office of Compliance Investigations and…

Each year, the Securities and Exchange Commission (SEC) publishes a list of its examination priorities for the coming year. Similar…

In its 2019 Risk Monitoring and Examination Priorities Letter, The Financial Industry Regulatory Authority, FINRA, announced its 2019 priorities examination…

Each year, the Financial Industry Regulatory Authority (FINRA) outlines its core areas of focus through its annual Regulatory and Examination…

On December 6, 2017, the Financial Industry Regulatory Authority (FINRA) released a report on recent findings by it Examination program,…

Last week, the Securities and Exchange Commission revoked [...]

The Securities and Exchange Commission (“SEC”) is beefing up its efforts to more closely examine Registered Investment Advisory firms. The…