Risk Alerts

The Division of Examinations regularly issues Risk Alerts to remind firms of their obligations under the federal securities laws and help them improve their systems, policies, and procedures. 

Title Date
Broker-Dealers: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents
Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance
Risk Alert: Shortening the Securities Transaction Settlement Cycle
Risk Alert: Observations Related to Security-Based Swap Dealers
Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
Risk Alert: Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers
Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule
Risk Alert: Observations from Examinations of Newly-Registered Advisers
Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest
Risk Alert: Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-Id
Observations Related to Regulation NMS Rule 606 Disclosures
Examinations Focused on the New Investment Adviser Marketing Rule
Recent Observations from Municipal Advisor Examinations
Investment Adviser MNPI Compliance Issues
Observations from Examinations of Private Fund Advisers
Division of Examinations Observations: Investment Advisers’ Fee Calculations
Observations from Examinations in the Registered Investment Company Initiatives
Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from an Examination Initiative
Observations from Examinations of Investment Advisers Managing Client Accounts That Participate In Wrap Fee Programs
The Division of Examinations’ Review of ESG Investing
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
The Division of Examinations’ Continued Focus on Digital Asset Securities
Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations
OCIE Observations: Investment Adviser Compliance Programs
Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices

Last Reviewed or Updated: June 28, 2024