Home Examinations: Document Request Letters
Examinations: Document Request Letters
Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule
This is a copy of a 2023 SEC document request exam letter
This is a copy of an SEC exam letter that went to an advisory firm in 2023
A peer shares a new SEC exam document request letter
This is a new exam letter the SEC sent an adviser in 2023
A source shares an SEC exam letter sent to an advisory firm
These items are taken from a recent DOE exam request letter that focused on cybersecurity
This 2023 DOE exam letter includes a focus on advertising, and other topics
A peer passes on an adviser's recent DOE exam document request letter
RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel