Home Examinations: Document Request Letters

Examinations: Document Request Letters

A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.
RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel
A black ethnicity male server technician working back at the office and server room after lockdown
A peer shares a DOE request that focused on cybersecurity
Large group of college students doing an exam in the classroom. Mature teacher is walking among them and monitoring.
This is an example of a DOE document request letter issued to a newly registered investment advisory firm
Businessmen with plants
A peer shares questions about ESG taken from a recent DOE exam
Questions include RFPs, DDQs
Urban business woman using tablet computer and working
Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels
Students writing in the exam hall of the college
This is a copy of an SEC document request letter sent to a dual registrant
Financial Decision Concept with Buy and Sell Dices Stock Market Chart and Calculator. 3D Render
This is the trade blotter format that SEC examiners would like to see firms produce on exams
Cropped image of depressed man at the psychotherapist. Doctor is making notes while listening to his patient
This SEC exam letter from 2023 probes fees and advertising
Team of two engineers installing solar panels on roof.
It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...

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