Home Examinations: Document Request Letters
Examinations: Document Request Letters
This is a copy of an SEC document request letter for a limited scope exam. This exam occurred out of the Atlanta region in 2010.
This is a copy of an SEC document request letter for a limited scope exam conducted in the Atlanta region in 2010.
This is an SEC document request letter stemming from a limited scope exam conducted out of the Atlanta regional office in 2010.
A copy of an SEC document request letter issued in 2010. Our source tells us this letter came from a “surprise exam” of an RIA.
An SEC document request letter sent to an RIA in 2010.
A document request letter sent to a dually registered RIA by the SEC for an exam in 2009.
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 ...
Here is an SEC document request letter from an RIA exam out of the Los Angeles regional office in April 2010.
There's no question you must respond seriously and swiftly when you receive a document request letter from the SEC. But this doesn't mean the agency ...
A copy of a December 2009 letter from the SEC Chicago Regional Office alerting an adviser that it could be subject to an exam and ...