This is a sanitized copy of an actual SEC document request letter sent to an RIA in 2010.
This is a no-action letter from the SEC's Division of Trading and Markets released in 2011. It relates to shares of a qualifying ETF.
Click here to download an attestation form a peer shares with research consultants or expert networks and maintains to demonstrates the firm's commitment against receiving ...
Click here to download a Word file that comes from a peer who shares the firm's form for new hires to complete to assist the ...
Click here to download a Word document that is a peer's policies and procedures for the SEC's pay-to-play rule.
This is the so-called 913 study by the SEC into a uniform fiduciary duty standard for investment advisers and broker-dealers. This was released in January ...
This is the SEC's study on enhancing IA exams. Congress ordered the study in its Dodd-Frank reform law. This was released January 19, 2011.
Click here to open an Excel document that is a marketing review log courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...
Click here to open a Word document that is a marketing review form courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...
This is a copy of a letter New York City authorities sent to investment advisers in 2011 warning them they may have to register as ...