This is a copy of an SEC document request letter for a limited scope exam conducted in the Atlanta region in 2010.
This is NASAA's guide to state contacts for B-D and RIA registration and exams, dated September 2010.
This is an SEC document request letter stemming from a limited scope exam conducted out of the Atlanta regional office in 2010.
Click here to open an Excel file that can serve as a template for tracking documents needed for an SEC exam. This tool comes courtesy ...
This is a sample memo to alert staff to preserve documents in light of a government investigation, shared courtesy of Mark Egert, a partner with ...
This is a sample memo for firms to notify staff of a government investigation, courtesy of Mark Egert, a partner with Crowell & Moring in ...
This is a crisis handbook shared with permission of Mark Egert, a partner with Crowell & Moring in New York. Egert created this handbook to ...
Click here to open a Word file that is a sample retention agreement between an RIA and an accounting firm to conduct a surprise exam ...
This is the Form N-MFP from the SEC that should be used to report monthly the portfolio of money market funds.
An overview of the new Form ADV rule from the SEC. This includes a good comparison between the existing Form ADV, Part 2 and the ...