Home Examinations: Document Request Letters

Examinations: Document Request Letters

Photo of a small mess on a hard wood floor being swept up with a green broom.
RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule
Mature man looking at a digital tablet that a colleague is showing at work
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
A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.
This is a copy of a 2023 SEC document request exam letter
Senior Architect with his team reviewing blueprint in the office. Looking at digital tablet and blueprints.
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
Group of business people is working on new business strategy with a financial analyst while analyzing financial chart during meeting in the office.
A source shares an SEC exam letter sent to an advisory firm
Businesspeople gathered in boardroom listen to confident woman business coach or presenter talks, explain infographic shown in flip chart. Educational training and presentation event in modern office
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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