SEC Division of Examinations Releases New Practical Exam Handbook

The U.S. Securities and Exchange Commission's Division of Examinations has published a new comprehensive examination handbook outlining processes and engagement standards.

The U.S. Securities and Exchange Commission (SEC) Division of Examinations has released a new publication titled 'The SEC Exam Handbook: A Practical Guide on Process and Engagement.' This new handbook replaces and expands upon the regulator's earlier examination brochure. It aims to offer market participants and regulated entities detailed insight into the examination process, procedures, and expectations for engagement during SEC reviews. The publication serves as a practical guide for registered entities, detailing operational expectations and compliance processes used by staff during regulatory examinations.