Kevin S. Woodard Publications
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Observations Regarding Fixed-Income Principal and Cross Trades by Investment Advisers from an Examination Initiative
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Observations from Examinations of Investment Advisers Managing Client Accounts That Participate in Wrap Fee Programs
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Best Practices in Share Class Reviews
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Preparing for the Full Implementation of the DOL Fiduciary Rule
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Division of Examinations, Feb. 26, 2021: Continued Focus On Digital Asset Securities
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New York Investment Adviser Representative Registration
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OCIE Risk Alert – Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations
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OCIE Observations: Investment Adviser Compliance Programs
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OCIE RISK ALERT: Supervision, Compliance, and Multiple Branch Offices
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Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers
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