Stay informed: Financial Services 2013 SEC comment letter trends

January 2014
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Stay informed: Financial Services 2013 SEC comment letter trends

At a glance

This paper discusses the SEC staff’s comment letters issued over the past few years to registrants within the financial services industry and the identified trends of hot topic areas.

To help you prepare for your annual reporting, we have compiled and analyzed the SEC staff’s comment letters issued over the past few years to registrants within the financial services industry.

We have also identified the areas where registrants received the majority of comments and provided sample comments along with highlights surrounding current hot topics.

Also included is a discussion of other notable trends related to topics that are specific to the financial services industry as well as historically recurring themes across other industries.