SEC Examiners Invade Houston
Twenty-five agents of the U.S. Securities and Exchange Commission invade Houston next week to conduct dozens of financial examinations of broker-dealers and investment advisors that either haven’t been audited in many years or, in many instances, ever. The SEC is launching a weeklong Houston initiative in an effort to raise the agency’s profile by holding open door educational seminars and meet-and-greet opportunities with senior SEC leaders, as well as conducting as many as 40 intensive in-person examinations.






