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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October 2023 Sample Examination Letter – Los Angeles – Artificial Intelligence (AI)
This is a sample SEC examination letter from October 2023 from the Los Angeles office regarding the use of artificial intelligence (AI).
October 20, 2023
2023 SEC Division of Examinations Risk Alert on Adviser Examinations
This Risk Alert includes a list of the documents and information that the SEC examinations staff typically requests in an examination.
September 08, 2023
Letter to Senate Appropriations Subcommittee on the SEC FY2024 Budget
The IAA submitted a letter to the Senate Appropriations Subcommittee on Financial Services and General Government on the SEC’s FY 2024 budget request and to thank the Subcommittee for its support of providing $2.4 billion to the agency.
July 25, 2023
June 2023 Sample Examination Letter – New York – Marketing
This is a sample SEC examination letter from June 2023 from the New York office regarding the Marketing Rule.
June 22, 2023
April 2023 Examination Presentation
This presentation from a meeting of the IAA Smaller Advisers Committee includes sample examination questions.
April 26, 2023
March 2023 Sample Examination Letter – DC – Adviser, Separately Managed Accounts, Private Funds (1)
This is a sample SEC examination letter from March 2023 from the DC Office regarding investment advisers, private funds, and separately managed accounts.
March 17, 2023
March 2023 Sample Examination Letter – DC – Adviser, Separately Managed Accounts, Private Funds (2)
This is a sample SEC examination letter from March 2023 from the DC Office regarding investment advisers, private funds, and separately managed accounts.
March 14, 2023