Examinations: Document Request Letters

This is a so-called limited scope exam document request letter from the SEC. This came to an RIA in the San Francisco region.

Click here to open a Word file that is a copy of an SEC document request letter that went to an RIA. This letter came ...

This is a copy of an SEC document request letter received by an RIA from the San Francisco regional office.

Click here to open an Excel file that comes courtesy of Vista 360, a Milwaukee-based consulting firm. This is a matrix formed around a typical ...

This is an SEC document request letter that went to an RIA in late 2011.

This is a copy of an SEC document request letter for a sweep of private equity fund advisers that began in 2011.

This is an SEC document request letter sent to an advisory firm in the Chicago Regional Office.

IA Watch has learned that advisers from Miami to L.A. recently received "limited-scope" exam request letters from the SEC. Like the so-called Chicago letter (IA ...

This is a copy of an SEC limited-scope exam letter sent to an RIA in the Miami Regional Office.

This is an SEC limited scope exam letter sent from the Los Angeles regional office in 2011. This is modeled after the so-called “Chicago” letter.