Deficiency letter

deficiency letter investment & finance definition
A letter from the SEC indicating disapproval with one or more aspects of a security issuer's registration statement.
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Deficiency letter
Notification from the SEC to a prospective issuer of securities that revisions or additions need to be made to the preliminary prospectus.

deficiency letter An SEC letter stating that a preliminary prospectus for an offering must to be modified. deficit The amount by which spending exceeds income over a period of time. This is also...

for reviewing CTA Disclosure Documents and performance reporting. Many of their requirements are not identified in the Commodity Exchange Act, but rather are delineated via advisories and interpretations issued by the Division in "deficiency letters".

See also: Issue, Close, Registration, Yield, Future