Policy
The SEC's Examinations Division Publishes an Exam Handbook, Replacing Its Longstanding Brochure
'The SEC Exam Handbook: A Practical Guide on Process and Engagement' walks registrants from risk assessment through disposition letters, with tips, compliance resources and feedback channels.
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By Marcus Elrod
Oct 1, 2026 · 2 min read
The Securities and Exchange Commission's Division of Examinations published a new handbook for the firms it examines on Thursday, superseding the brochure that had served that purpose for years.
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Marcus Elrod
Marcus tracks positioning, flows and rates. He writes CI's weekly market internals column.
Marcus Elrod writes for Corporate Insider Inc.