This is a never-been examined request letter that went to an adviser.
This is a common exam letter.
Consider this another never-been-examined-before adviser undergoing an SEC exam.
This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with ...
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.
A peer passes along the firm's initial document request letter from a recent SEC exam. This came out of the SEC's Philadelphia Regional Office.
A peer shares the firm's initial document request letter.
A peer shares OCIE's document request letter from a recent exam.
This is an example of an OCIE exam request initiated by the Washington, D.C. office.