SEC Division of Examinations releases new operational handbook for registered entities

WASHINGTON — The Securities and Exchange Commission’s Division of Examinations published a new handbook on Oct. 1, 2026, replacing and expanding upon the previous examination brochure to govern how registered entities prepare for and undergo regulatory reviews.

Strategic Context

Titled “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” the newly released manual is designed to provide comprehensive guidance on the division's examination process. The publication supersedes earlier informational brochures distributed by the agency, offering registered entities a detailed roadmap outlining how examinations are initiated, conducted, and concluded.

For compliance officers, chief financial officers, and legal counsel at registered investment advisers, broker-dealers, and other regulated entities, the document formalizes procedural expectations. The handbook details the mechanics of staff engagement, document production, and the communication lifecycle from initial notification through deficiency letters or closure.

Forward Outlook

Operators and compliance teams should incorporate the new handbook into their internal review schedules to align existing audit protocols with the updated framework. Regulatory professionals can review the complete manual and official release details directly through the SEC Press Releases portal.