Other
Division of Examinations Resources
May 12, 2017
Broker-Dealers
Tips for Broker-Dealers on Avoiding Failures to Deliver Securities (UPDATED 11/25/08)
Requests for Independent Confirmation of Assets
Division of Trading and Markets
Exchanges/SROs
Investment Advisers
Information for Newly-Registered Investment Advisers
Advisers with Custody: Rule 206(4)-2(a)(3)(ii)(C) Reporting Instructions
Requests for Independent Confirmation of Assets
Division of Investment Management
Investors
Exam Staff Requests for Independent Confirmation of Assets
Municipal Advisors
Instructions for the Registration Forms for Municipal Advisors
Final Rules for Municipal Advisors
Compliance Outreach Program for Municipal Advisors
Office of Municipal Securities
Press Release: SEC Announces Municipal Advisor Exam Initiative
NRSROs
Nationally Recognized Statistical Rating Organizations ("NRSROs")
Private Fund Advisers
Rulemaking
- Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF (Release No. IA-3145)
- Net Worth Standard for Accredited Investors (Release No. 33-9177)
- Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Release No. IA-3222)
- Rules Implementing Amendments to the Investment Advisers Act of 1940 (Release No. IA-3110)
- Custody of Funds or Securities of Clients by Investment Advisers (Release No. IA-2876)
Staff Letter
- Letter to Industry Regarding Presence Exams (October 9, 2012)