Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
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Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
IAA Tracker – Trump’s First 80 Days; Atkins Confirmed as SEC Chair
Updated regulatory developments, including Paul Atkins’ confirmation as Chairman of the SEC, SEC actions, and Executive Orders.
April 10, 2025
Explanation of IAA Blue Sky/State Filing Summaries
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March 13, 2025
SEC-Registered Investment Adviser Firms State Notice Filing Guide
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March 13, 2025
2025 Sample Examination Letter on Transition to T+1 Settlement Cycle – Los Angeles
This is a sample SEC examination letter that includes questions on the transition to the T+1 settlement cycle. It is similar to other sample examination letters on the T+1 settlement cycle.
March 12, 2025
Asset Management Enforcement: Latest Trends and a Look Ahead at the New Commission
Stradley’s client memo discusses key SEC enforcement statistics and themes related to investment advisers, funds and fund boards in both Fiscal Year (FY) 2024 and part of FY2025 and what to expect going forward with incoming SEC Chair Paul Atkins.
March 11, 2025
IAA Expresses Concerns Over FCA’s Name and Shame Plan
The IAA urges the UK FCA to maintain the confidentiality of investigations until formal administrative or legal action is taken.
February 17, 2025
February 2025 Sample Examination Letter – DC
This is a sample SEC routine examination letter from DC.
February 14, 2025
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