IA- SEC Invest. Adv. Sample Exam Rec. Req. List

The SEC Investment Adviser Sample Exam Records Request List outlines some of the documentation that might be requested during a Securities and Exchange Commission examination.  Investment advisers should prepare the documentation prior to and upon request by the Securities and Exchange Commission.  Members also downloaded SEC Form ADV Parts 1 & 2 General Instructions or ADV Execution Page.

Version/Update: V.U/March 2020

Total Page Count/Format: 14/.pdf

Source/Author(s): SEC