Home Examinations: Document Request Letters
Examinations: Document Request Letters
RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule
This exam letter comes from a 2023 SEC exam of an adviser
Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
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 a new exam letter the SEC sent an adviser in 2023
A source shares an SEC exam letter sent to an advisory firm
These items are taken from a recent DOE exam request letter that focused on cybersecurity
This 2023 DOE exam letter includes a focus on advertising, and other topics
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