Home Examinations: Document Request Letters
Examinations: Document Request Letters
Sources share with RCW a new DOE sweep exam letter. This one focuses on 13F filings by institutional advisers
A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...
RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence
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