Examinations: Document Request Letters

Click here to open a PDF from the NSCP with directions for how to Bates stamp PDF documents. This is shared with permission of the ...

“You never get a second chance to make a great first impression.” That age-old adage certainly applies to an SEC exam. From the moment examiners ...

This is a copy of the sweep letter OCIE has used as part of its effort to examine advisers that manage so-called alternative mutual funds. ...

This is a copy of an SEC document request letter that went to an adviser in 2014 with a special emphasis on wrap fee programs.

The small Midwest adviser had never been examined by the SEC, until recently."I was absolutely terrified," says the CCO, who also wears other hats within ...

This is an SEC document request letter from the Denver Regional Office. This is an NBE or never-been-examined letter.

This is an SEC document request letter sent to an adviser that had never been examined before. This letter, from 2014, came out of the ...

This is a copy of a never-been-examined SEC document request letter issued out of the Los Angeles Regional Office.

This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.

Click here to open a Word document that comes from an SEC document request of an adviser during an exam. This document lays out the ...