Reference
National Exam Program Risk Alerts
- OCIE’s 2016 Share Class Initiative
- OCIE Cybersecurity Initiative
- Due Diligence of Alternative Investments
- National Examination Program Priorities for 2014
- Short Selling in Connection with a Public Offering
- SEC Examinations of Business Continuity Plans of Certain Advisers - 8-27-2013
- SEC Guide Investment Adviser Use of Social Media