Home Examinations: Document Request Letters
Examinations: Document Request Letters
A copy of an SEC document request letter from an exam initiated in June 2009.
A copy of the sworn statement letter sent by NYRO enforcement division in spring and summer 2009.
A copy of the SEC's document request letter from its January 2009 exam.
A copy of an SEC document request letter from May 2009.
A 2009 SEC document request list from an exam of a dually registered investment advisory and broker-dealer.
A copy of a 2009 document request letter that originated in the Chicago regional office of the SEC.
A copy of an SEC document request letter issued by the San Francisco regional office.
Copy of SEC sweep exam letter related to rumors.
A sanitized copy of an SEC exam document request letter from February 2009.
A copy of an SEC Office of Compliance Inspections and Examinations' sweep letter looking into firms' controls over custody.