This is an SEC limited scope exam letter sent from the Los Angeles regional office in 2011. This is modeled after the so-called “Chicago” letter.
This is a firm's data destruction P&P.
SEC Speech: Statement at Open Meeting to Adopt a Final Rule Regarding Security Ratings for Forms S-3 and F-3 Eligibility, by Commissioner Troy A. Paredes, ...
SEC Speech: Opening Statement at SEC Open Meeting: Item 2 – Security Ratings, by Chairman Mary Schapiro, on July 26, 2011
SEC Speech: Continued Efforts to Improve the Regulation of Asset-Backed Securities, by Commissioner Luis A. Aguilar, on July 26, 2011 Speech by SEC Commissioner: Continued ...
SEC Speech: Opening Statement at SEC Open Meeting: Item 1 – Large Trader Reporting, by Chairman Mary Schapiro, on July 26, 2011 Speech by SEC ...
SEC Speech: Opening Remarks Regarding the Adoption of Large Trader Reporting Requirements, by Commissioner Elisse B. Walter, on July 26, 2011 Speech by SEC Commissioner: ...
SEC Speech: Opening Statement at SEC Open Meeting: Item 3 – Shelf-Eligibility Requirements for Asset-Backed Securities, by Chairman Mary Schapiro, on July 26, 2011 Speech ...
SEC Speech: Statement at Open Meeting: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants, by Commissioner Kathleen L. Casey, on Jun3 ...
Here's a tool-you-can-use if you're a private fund adviser trying to determine if you will have to register with the SEC. The law firm of ...