Examinations: Document Request Letters

Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue

This is an example of an OCIE exam request initiated by the Washington, D.C. office.

This one hails from the SEC's Miami Regional Office.

This one was sent to an advisory from the SEC's Chicago Regional Office.

An IA shares the firm's initial exam request letter.

A peer shares a copy of the initial document request letter the firm received for an SEC exam of a broker-dealer.

A peer shares a copy of an OCIE document request letter that focuses on exchange-traded funds.

This correspondence is another OCIE document request letter that looks at business development companies.

A peer shares a copy of OCIE's exam letter that included a look at private equity.

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