BNA’s Securities Regulation & Law Report
The Survival Guide to Regulatory Examinations
February 14, 2011
The following is intended to serve as a guide to handling regulatory examinations for registered investment advisers or broker-dealers. The purpose of this document is to highlight legal and regulatory issues, as well as practical issues, that firms should consider and be ready to address during a regulatory examination.
Capabilities
Suggested News & Insights
Sidley Ranked in Chambers Asia-Pacific 2026December 11, 2025Sidley Elects Partnership Class of 29 and Counsel Class of 15 Across Europe and U.S.December 11, 2025Sidley Represents Jefferies in Its Investment in Hildene HoldingDecember 8, 2025Sidley Advises Ancala on Acquisition of U.S. Chemical Infrastructure PortfolioDecember 4, 2025Asia Funds & Financial Services NewsletterNovember 27, 2025Sidley Represents American Healthcare REIT in US$477.1 Million Common Stock OfferingNovember 26, 2025
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory