Language from the SEC that complies with the Fair Credit Reporting Act for opt-out forms to share with consumers for marketing purposes. This comes from ...
An SEC document request letter out of the Chicago regional office of the SEC for an exam conducted in the summer of 2009.
A copy of an SEC enforcement sweep exam letter tied to the so called pay-to-play scandal. This letter likely comes from the summer of 2009.
A compliance log in an Excel format provided courtesy of Christina Sears, CCO at American Beacon Advisors in Fort Worth, Texas. This tool contains separate ...
A copy of an SEC document request letter from an exam initiated in June 2009.
Copy of the letter supporting a fiduciary standard as part of 2009 lobbying effort by the Investment Adviser Association, among other groups.
Federal judge's order denying bail to Robert Allen Stanford in June 2009.
A portion of the SEC's Freedom of Information Act response to IA Week in the Stanford case. Obtained in June 2009.
Letter written on behalf of Bernard Madoff by his attorneys asking for a lighter sentence in June 2009.
SEC complaint filed in June 2009 against Stanley Chais, related to the Madoff fraud.