SEC Exam Readiness Checklist: Proactive Preparation Before the SEC Comes Calling

A practical checklist to help firms prepare for exams across books and records, marketing, custody, and more.

The SEC can initiate an exam at any time, and even well-run firms can be caught unprepared. That’s why we created this practical checklist to help firms like yours proactively identify gaps before regulators arrive. 

If you're looking to scale your firm's compliance program, this resource will help you strengthen your exam-readiness strategy and avoid preventable findings. 

You'll Learn How To: 

✔ Ensure policies reflect how your firm really operates 
✔ Cross-check marketing, disclosures, and Form ADV 
✔ Integrate recent SEC risk alerts into your calendar 
✔ Prepare for unexpected exam document requests

This Checklist is Ideal For: 

• Firms preparing for their first SEC exam or conducting a mid-year internal review
• Teams wanting to confirm alignment across compliance, operations, and marketing
• Anyone navigating SEC requirements, marketing rule enforcement, or custody proposals