The US Securities and Exchange Commission’s (SEC) Division of Examinations on Oct. 1 published “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” replacing and expanding upon its previous examination brochure and providing a clear roadmap of the agency’s examination process so that firms can best prepare.
“The Division’s new handbook clarifies the examination process, offering regulated entities greater insight into what to expect during an exam and establishing clear expectations,” said SEC Chairman Paul Atkins. The handbook also provides regulated entities with links to resources for additional information.
