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SEC Press Releases·

SEC’s Division of Examinations Announces New Exam Handbook

  • The SEC Division of Examinations released a new handbook titled "The SEC Exam Handbook: A Practical Guide on Process and Engagement" on Oct. 1, 2026, replacing its previous brochure.
  • The new guide provides a clear roadmap for examiners across the country to ensure consistency & emphasizes an accessible, collaborative approach.
  • The handbook aims to improve industry practices, monitor risk, prevent fraud, & support the SEC's mission of protecting investors.
  • SEC Chairman Paul S. Atkins stated the transparency in the handbook will make examinations more effective while helping the SEC maintain fair markets.
  • Division Director Keith Cassidy noted the guide responds to registrant calls for clarity to create a more efficient, consistent, & predictable program.
  • The handbook covers all exam stages from risk assessment to disposition letters, includes feedback avenues, & offers practical tips for compliance preparation.