SEC’s Division of Examinations Announces New Exam Handbook

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The U.S. Securities and Exchange Commission's Division of Examinations published a new handbook titled "The SEC Exam Handbook: A Practical Guide on Process and Engagement," announced October 1, 2026, which replaces and expands upon the previous examination brochure. The handbook outlines the examination process used by division examiners nationwide, covering each stage from risk assessment through the disposition letter, and includes practical tips and resources for registrants. SEC Chairman Paul S. Atkins stated that the handbook clarifies the examination process and establishes clear expectations, while Keith Cassidy, Director of the Division of Examinations, said the goal is to make the process more consistent and predictable for all involved. The document states that division examinations are designed to improve industry practices and compliance, monitor risk, and prevent fraud.

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