Social Media Ideas for Market Conduct Examinations Unit

United States: Open (Hand)book for SEC Exams: A Useful Tool for the Uninitiated

A call from the Staff at the Division of Examinations (Exams) of the Securities and Exchange Commission (SEC or the Commission) notifying a registrant of an exam has long induced u...

SEC Division of Examinations Publishes Risk Alert on Annual Compliance Reviews

The SEC’s New Exam Handbook: Regulators Share What Advisers Should Expect From Their Next Exam

An Examination Under Oath Is Not Just Another Deposition

I was recently discussing examinations under oath with our Chicago attorneys, Emily Cabadas, Christina Phillips, and Ed Eshoo. Emily is considering a presentation on the subject, a...

Part D: The examination report, examination procedures and post-registration

Includes time limits, examination and withdrawals.

FCA Market Watch 86

On 14 October 2026, the Financial Conduct Authority (FCA) published Market Watch 86. In this Market Watch, the FCA shares its observations from recent supervisory visits to UK reta...

Warren presses insurance regulators for answers on private credit ties as Walter probe widens

NAIC letter points to a tenfold-plus jump in one insurer's reported related-party holdings and asks whether state oversight can keep pace with footprint in life insurance

California adds fair lending teeth to routine mortgage exams

Nondiscrimination violations now carry the same consequences as any CRMLA breach

The examiner never called

No regulator filed the Veterans United case, that is the whole story

Connecticut fined surplus lines brokers $856K in fiscal 2026

The CID's FY2026 results show a 51% rise in surplus lines penalties and 25 producer license revocations

California law puts $20,000 sting on insurers that ignore exam findings

California just gave its insurance commissioner real teeth - and a $20,000-per-violation bite

California law puts $20,000 sting on insurers that ignore exam findings

California just gave its insurance commissioner real teeth - and a $20,000-per-violation bite

Florida Commissioner Suspends A-Cap’s Atlantic Coast Life Over Surplus Issues

Two weeks after South Carolina’s insurance regulator took steps to place Atlantic Coast Life Insurance into rehabilitation, another state’s commissioner has suspended the company a...

Public adjusters launch national conduct code for US claims

Voluntary standard targets consistency across state rules

FCA Misconduct Rules Put Surveillance Evidence and HR–Compliance Workflows to the Test

The Financial Conduct Authority’s expanded non-financial misconduct rules took effect on 1 September, bringing around 37,000 non-bank firms within a broader conduct regime. Firms n...

Finance AI Agent Compliance Testing: The Output Is a Record

For a FINRA member firm, agent output is a communication. See how to build the fixtures, graders, CI gate and run evidence that turn that into a test suite.

Two SE States Take Action Against A-Cap Insurers Amid Rising Concerns About Ability to Pay Claims

Two weeks after South Carolina’s insurance regulator took steps to place Atlantic Coast Life Insurance into rehabilitation, another state’s commissioner in September suspended the...