Checklist
Get Ready for Your 2026 SEC Exam
SEC exams focus on what your firm can demonstrate—not just what your policies say. Gaps often appear in day-to-day operations, especially across communications, recordkeeping and disconnected systems.
This checklist helps you quickly assess where your processes may fall short and where to take action.
What You’ll Evaluate
- Assess communication and record retention practices
- Review cybersecurity and client data protection
- Examine oversight of AI and automated tools
- Evaluate compliance controls and supervision
- Identify third-party technology risks
Nearly 89% of SEC deficiency letters cite recordkeeping issues. Small breakdowns in execution can lead to missing records, limited oversight and increased exam risk.
Understanding where you stand now helps you strengthen your approach before it’s tested.
Download the 2026 SEC Exam Readiness Checklist
Identify gaps, improve processes and approach your next exam with greater confidence.