Examinations: Document Request Letters

A new proposed rule from the CFTC would wipe away the requirement that commodity trading advisors (CTAs) save recordings of swap transactions (IA Watch, Nov. ...

IA Watch has obtained several recent SEC document request letters (see related story). They vary. Most are for never-been-examined firms and included on-site visits. One ...

This is an SEC document request letter sent to an advisory firm in 2014 from the SEC's Atlanta Regional Office.

This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.

This never-been-examined SEC document request letter asks for fewer records, indicating examiners may have made only a short visit.

This SEC document request letter shows examiners wanted to see proof that the adviser knew its custodians were sending notice of custody account statements, among ...

This letter, from the SEC's Los Angeles Regional Office, went to a broker-dealer in 2014. This letter features an unusual table of data that examiners ...

This letter, sent to a never-been-examined firm, features an unique table that examiners wanted the adviser to complete. It would provide the number of clients ...

This is a copy of an SEC document request letter sent to an advisory firm in 2014.

Click here to open a PDF from the NSCP with directions for how to Bates stamp PDF documents. This is shared with permission of the ...