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 a job description for a compliance manager that comes from one of your peers.
This is an example of a deferred prosecution agreement entered into with the SEC.
Click here to open a Word file that is an affiliate trade form from one of your peers. This would be signed by the portfolio ...
This is an SEC document request letter that went to a dually registered firm in the eastern part of the U.S.
This is an SEC document request letter sent to an RIA in the southeast.
Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. ...
This is a so-called limited scope exam document request letter from the SEC. This came to an RIA in the San Francisco region.
Click here to open a Word file that is a copy of an SEC document request letter that went to an RIA. This letter came ...
This is a copy of an SEC document request letter received by an RIA from the San Francisco regional office.