Sample 407 Letter for Investment Adviser Employees - Compliance Department - Beneficial Ownership Account Numbers

Sep 15, 2026

Sample 407 letter template for Investment Adviser employees, drafted on an IA letterhead and directed to a Broker-Dealer/Custodian firm’s Compliance Department. The letter notifies the firm about an employee’s disclosed brokerage accounts and requests forwarding duplicate confirmations and brokerage statements effective upon receipt. It specifies preferred electronic delivery via provided data feeds and includes an alternative for paper copies to the Chief Compliance Officer. Closing sections provide contact details, thanks, and CC of the employee personal trading file.

LanguageEnglish

CategoryLetters

FormatPDF

Pages1

AccessFree to download

Sample 407 Letter for Investment Adviser Employees

Letter details and addressee information

Request for duplicate confirmations and statements

Delivery preferences (electronic or paper)

Chief Compliance Officer contact and signature

FAQs

What does the Sample 407 Letter request the broker-dealer/custodian to provide?

It requests forwarding all duplicate confirmations and brokerage statements related to the employee’s beneficial ownership accounts.

When does the forwarding requirement become effective?

The requirement is effective on the date the firm receives the letter.

How should the firm deliver the information—electronically or by mail?

Electronic delivery is preferred via data feeds; otherwise, paper copies are to be sent to the Chief Compliance Officer address listed in the letter.

Sep 15, 2026

Upload by Mack Lee