Home Examinations: Document Request Letters
Examinations: Document Request Letters
This is a 2013 SEC document request letter that went to a private equity fund adviser within the Denver Regional Office of the SEC.
This is likely an SEC document request letter sent as part of OCIE's “presence exam” initiative in 2012. This went to a private equity fund ...
This is a copy of an SEC document request letter sent to an IA firm.
This is an SEC sweep exam letter sent to some advisers inquiring about their business continuity plans (BCPs) following Hurricane Sandy in October 2012.
This is an SEC document request letter sent to an advisory firm. This letter hails from the Atlanta Regional Office. This may be a so-called ...
This SEC document request letter went to an adviser in the Atlanta Regional Office. This is from a so-called “presence exam.”
SEC document request letter sent from the Atlanta regional to an IA.
This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta ...
This is a sanitized copy of an SEC document request letter that the agency used in 2012 for the initial document request list for newly ...
This is an SEC document request letter that went to a dually registered firm in the eastern part of the U.S.