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Sample SEC Exam Request Letter – Dec 2013

Wednesday, January 1, 2014

If you are interested in seeing what a recent SEC Exam Request Letter is asking, you can click here to download a Dec 2013 version.

Red Oak can help you prepare and respond to SEC and state exams. Contact us to find out more.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.

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