SEC’s Division of Examinations Announces New Exam Handbook
The U.S. Securities and Exchange Commission’s Division of Examinations published a new handbook on Oct. 1, 2026 titled “The SEC Exam Handbook: A Practical Guide on Process and Engagement.” The handbook replaces the prior examination brochure and lays out the division’s examination process, aiming to give registrants more detail on what to expect during exams and to promote consistency across offices.
Why It Matters
Greater transparency about examination procedures can affect how regulated entities prepare for SEC reviews and may improve consistency and predictability in enforcement interactions. The handbook also signals the Division’s emphasis on accessibility and collaboration in its oversight role.
Key Facts
- Publication date: Oct. 1, 2026
- Document title: The SEC Exam Handbook: A Practical Guide on Process and Engagement
- Issuer: Securities and Exchange Commission’s Division of Examinations
- Purpose: Replaces and expands the previous examination brochure to provide more insight and detail about what to expect during an examination
- Scope: Covers each stage of an exam from risk assessment through the disposition letter and includes avenues for feedback
The SEC’s Division of Examinations issued a new handbook on Oct. 1, 2026 intended to give registrants a clearer view of the agency’s examination process. Titled “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” the publication replaces the prior examination brochure and expands the level of detail provided to regulated entities. According to the Division, the handbook offers a roadmap of the procedures used by examiners nationwide with the goal of promoting consistency across offices. The document is framed to emphasize an accessible and collaborative approach to examinations while supporting the Commission’s broader mission to protect investors, facilitate capital formation, and maintain fair, orderly, and efficient markets. The handbook covers each phase of an examination, beginning with the Division’s risk assessment and concluding with the disposition letter. It also lists practical preparation tips, helpful resources to maintain compliance, and multiple ways for registrants to provide feedback or seek clarification during the process. SEC Chairman Paul S. Atkins said the handbook clarifies what regulated entities can expect and sets clearer expectations for examinations. Keith Cassidy, Director of the Division of Examinations, said the guidance responds to registrants’ requests for greater clarity and aims to make examinations more consistent, efficient, and predictable for all parties involved.
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