Examinations: Document Request Letters

This letter goes beyond 12b-1 fees to look at broader "revenue sharing."

This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.

A peers shares the firm's recent exam document request letter.

Here's a portion of an OCIE document request letter dealing with cryptocurrencies.

A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.

Here are 11 questions found within an OCIE document request letter sent to an advisory firm that specifically asks about how the firm handles its ...

This document request letter, sent to an advisory firm, asks about senior clients.

Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...

A peer shares OCIE's target date sweep letter that the firm received.

A peer shares the OCIE document request letter received by the firm. This one concentrates on wrap fee programs. It also featured an example of ...