Home Examinations: Document Request Letters
Examinations: Document Request Letters
A copy of a December 2009 letter from the SEC Chicago Regional Office alerting an adviser that it could be subject to an exam and ...
An SEC document request letter from 2009 issued by the Denver regional office.
A copy of an SEC document request letter from a 2009 exam out of the agency's Denver regional office.
A copy of an SEC document request letter from the Midwest, stemming from a 2009 exam.
A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...
Good things are worth waiting for. Back in February we told you about a FINRA sweep exam letter that asked broker-dealers about the business they ...
A copy of the January 2009 FINRA sweep exam letter looking at broker-dealer relationships with investment advisers after the Bernie Madoff debacle.
An SEC document request letter out of the Chicago regional office of the SEC for an exam conducted in the summer of 2009.
A copy of an SEC enforcement sweep exam letter tied to the so called pay-to-play scandal. This letter likely comes from the summer of 2009.
Over time we've shared many current SEC document request letters with you. The latest one, courtesy of one of your peers, diagrams the hot topics ...