Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
This is a peer's policy for e-mail and other electronic communications
This is a copy of a 2023 SEC document request exam letter
This is a copy of an SEC exam letter that went to an advisory firm in 2023
A peer shares a new SEC exam document request letter
This is the revised section 3 of Form PF that the SEC changed in 2023. Liquidity risk providers will have to begin completing this section ...
This is a new exam letter the SEC sent an adviser in 2023
A peer shares her firm's code of ethics and personal trading policy
A peer shares an example of a compliance policy and procedure for off-channel communications
A source shares an SEC exam letter sent to an advisory firm