As mentioned in our September 27th Communique, the SEC has started to send a letter to all newly reg...

For your reading pleasure, we present a list of tips for surviving a routine SEC Examination. This l...

The National Examination Program (“NEP”) of the Office of Compliance Inspections and Examination...

Office of Compliance Inspections and Examinations Process Overview. {Jscribd document_id:=100439931 ...

An example of recent SEC Long form and SEC Short form SEC Examination Information Request Lists. {Js...

The SEC seems to be initiating a trend and “pre-screening” managers.  An April...