A copy of a PriceWaterhouseCoopers memo produced after a review of the Bernard L. Madoff Investment Securities firm.
A document request letter sent to a dually registered RIA by the SEC for an exam in 2009.
The Senate Banking Committee's report on The American Financial Stability Act from March 2010.
This is a copy of an SEC document request letter sent in 2010. This is very similar to a new type of document request letter ...
This is a copy of an SEC Inspector General report, released via a Freedom of Information Act request by IA Watch, into allegations surrounding the ...
Click here to open an Excel spreadsheet that functions as a client checklist. This allows you to keep track of the information or documents you ...
Click here to open up an Excel spreadsheet from one of your peers that's used to follow up on forensic testing. This is an example ...
A copy of the “talking points” from Edward Jones for lobbying against an expanded fiduciary duty. This came up in the congressional debate in 2010 ...
Here is an SEC document request letter from an RIA exam out of the Los Angeles regional office in April 2010.
Click here to open an Excel worksheet designed to track the top 10 brokers selected for best execution purposes, including listing soft dollar percentages and ...