Examinations: Document Request Letters

This is a copy of an SEC document request letter from a 2012 limited scope exam handled out of the agency's Atlanta Regional Office.

This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...

This is a portion of an SEC document request letter that details items around trading. It also includes the agency's preferred method for firms to ...

This is a short list of items the SEC requested of an advisory firm that was examined.

Click here to open an Excel spreadsheet, prepared by Renaissance Regulatory Services in Boca Raton, Fla., that lists the items requested by the SEC during ...

This SEC document request letter went to a hedge fund adviser within the Chicago Regional Office of the SEC.

This is a copy of an SEC document request letter that went to a hedge fund adviser. This originated in the SEC's Chicago Regional Office.

This is a copy of a so-called “presence exam” letter that went to a private equity fund adviser in 2013.

This is an SEC document request letter that went to a hedge fund adviser. This came out of the Chicago Regional Office.

This is a 2013 SEC document request letter that went to a private equity fund adviser within the Denver Regional Office of the SEC.