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2024 Sample Examination Request List – Private Equity Fund Advisers
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September 17, 2024
2024 Sample Examination Letter – Boston
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August 16, 2024
2024 Sample Examination Letter on Transition to T+1 Settlement Cycle
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July 23, 2024
May 2024 Sample Examination Letter – Miami
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May 31, 2024
March 2024 SEC Division of Examinations Risk Alert on Transition to T+1 Settlement Cycle
This Risk Alert includes an Appendix with a sample list of requests for information from the SEC examinations staff regarding firms’ preparations for the shortening of the settlement cycle.
March 29, 2024
2023 Sample Examination Letter – Form 13F Filings
This is a sample SEC examination letter from 2023 regarding Form 13F filings.
January 22, 2024
Fall 2023 Sample Examination Letter – Artificial Intelligence (AI)
This is a sample SEC examination letter from Fall 2023 that includes questions on artificial intelligence (AI).
December 14, 2023
October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
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