The SEC is early to the game releasing the 2024 Exam Priorities just eight months after the 2023 Exam Priorities. Aside from the fact that the
Tips for SEC Exam Preparedness Before the SEC comes in: Once you are notified of an Exam: New for 2023: SEC³
The Securities and Exchange Commission (“SEC”) issued a Risk Alert on March 27, 2023, Observations from Examinations of Newly Registered Advisers. The Risk Alert focuses
The Commission has significantly expanded their scope and request of items pertaining to advisers’ marketing content. We have recently gone through a number of exams
