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
Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
Your Search Results
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
2025 Sample Examination Letter – New York
This is a sample SEC routine examination letter from New York.
September 01, 2025
June 2025 Sample Examination Letter – ESG
This is a sample SEC examination letter that includes several questions on ESG investing. It also includes a template to respond to data requests.
June 18, 2025
2025 Sample Examination Letter – Boston – Form 13F
This is a sample SEC examination letter from Boston that includes standard topics and two questions on Form 13F filings.
April 14, 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