How to prepare for an SEC exam
The best SEC exam preparation happens before the notice arrives: a compliance program that is actually followed, clean books and records, and a document request you can answer quickly.
Preparing for an SEC examination is mostly work done before the exam notice ever arrives. Examiners test whether your compliance program is real and followed, whether your books and records are complete, and whether the firm does what its policies say. The firms that do well can answer the document request quickly and consistently.
What examiners look for
The gap between the manual and the practice is where findings come from.
- A compliance program that is followed, not just filed
- Complete, retrievable books and records
- Consistency between disclosures, policies, and practice
- Evidence that reviews and testing actually happen
Be ready before the notice
A mock exam and a document-request dry run, done in advance, surface the problems while you still have time to fix them. After the notice, you are managing, not preparing.
Common questions
What triggers an SEC exam?
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