Home Examinations: Document Request Letters

Examinations: Document Request Letters

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Among other things, this exam letter asked for a list of employees by office locations, as well as an org chart revealing 'all entities that ...
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This DOE exam letter asks about 'special arrangements,' and more
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This DOE exam letter included a special focus on an adviser that sells insurance
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This is another new DOE document request letter issued after the second Trump Administration took office in January 2025
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Sample the first DOE exam letter of 2025 shared with RCW
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This new SEC document request letter signals what are hot topics for examiners
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Here's an extensive DOE exam letter shared with RCW by a source. This was directed at a private equity fund adviser in 2024
Students sitting in amphitheater and studying
Fee billing was an interest in this ongoing SEC exam of an adviser
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A source shares with RCW an adviser's recent SEC document request letter from an exam
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