CCO Resource Hub: SEC’s Enforcement Division

Chief Compliance Officer Committee

Enforcement: Document Requests from the SEC’s Enforcement Division

From time-to-time, the SEC’s Division of Enforcement requests information from registrants as part of its review of a particular issue.  Below is a list of document requests sent by the SEC’s Division of Enforcement to members of the CCO Committee:

• Hypothetical Performance Marketing Materials Investigation (June 2023)

• Pre-IPO Securities Valuation, November 14, 2016 (pdf)

  Nov 14, 2016

• Pre-IPO Securities Valuation, November 16, 2016 (pdf)

  Nov 16, 2016

• Private Fund Document Request (March 16, 2022) (pdf)

  March 16, 2022

• Securities Lending Practices (pdf)

  Apr 13, 2016

• Share Class Selection Practices, Part I (2018)

  Dec 3, 2018

• Share Class Selection Practices, Part II (2018)

  Dec 3, 2018

• Undisclosed Adviser Compensation (pdf)

  Jul 28, 2015

The documentation provided by ICI that may be accessed by committee and task force members is restricted to members use only and not for distribution or reproduction. Documentation may be used internally at member organizations as needed to facilitate committee and task force initiatives.