2026 Sample Examination Questions – Philadelphia – Proxy
This is a set of sample SEC examination questions from the Philadelphia Regional Office regarding the use of proxy advisory firms and proxy voting.
September 30, 2026
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2026 Sample Examination Document Requests (SEC Private Funds Unit) – Private Fund Advisers
This resource includes SEC Division of Examinations, Private Funds Unit initial document request list items for private fund advisers, including some Exhibits (2025-April 2026).
May 12, 2026
2025 Sample Examination Letter – Private Investments, Wrap Fee, Marketing
This is a sample SEC examination letter that includes standard topics and private investments, wrap fee programs, and marketing.
December 13, 2025
2026 Sample Examination Questions – Data Privacy and Regulation S-P
This is a set of sample SEC examination questions regarding data privacy and Regulation S-P.
December 04, 2025
Observations from SEC Examinations 2025: 4 Key Categories
This article from Fairview discusses observations from SEC examinations during the first few months of 2025.
September 26, 2025
2025 Sample Examination Letter – Third-Party Access Providers
This is a sample SEC examination letter that includes several questions on the use of Third-Party Access Providers used to grant advisers with secure access to client information in held away accounts.
September 24, 2025
2025 Sample Examination Letter – Private Investments, Wrap Fee, Valuation, Marketing
This is a sample SEC examination letter that includes standard topics and private investments, wrap fee programs, valuation, and marketing.
September 16, 2025
2025 Sample Examination Letter – Boston
This is a sample SEC routine examination letter from Boston.
September 03, 2025