Blog
2026 Division of Examinations Exam Priorities | Key Takeaways
SEC Releases Introduction On November 17, 2025, the SEC’s Division of Examinations (EXAMS) released its Fiscal Year 2026 Examination Priorities. These priorities provide a forward-looking roadmap […]
Read MoreTurning SEC Exam Downtime into Opportunity | Chuck Martin Insights
Vigilant Insights Introduction As the government shutdown continues to stall regulatory operations, many Firms undergoing SEC Examinations have been left in an uncertain position. With […]
Read MoreFormer CCO Charged for Altering Documents during SEC Exam
SEC Releases Introduction The SEC charged the Former CCO and Vice President of an RIA on July 15th, 2025, for modifying compliance documents requested by […]
Read MoreHow to Prepare for an SEC Examination | Vigilant Insights
Vigilant Insights Introduction After almost $5 billion in SEC charges from enforcement activity in FY 2023, Firms are recognizing the importance of being prepared. SEC Examinations can be […]
Read MoreSEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ
Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With the SEC’s Proposed Rule related to AI use […]
Read More