If you've ever stared at an SEC exam notification letter wondering what happens next, this walks you through the entire lifecycle: from the initial document request list through staff interviews, deficiency letters, and remediation. It covers both SEC Division of Examinations and FINRA processes, explains how firms get selected for examination (risk-based screening, sweep exams, whistleblower tips), and includes frameworks for mock exams and annual compliance reviews under Rule 206(4)-7. The guidance is detailed on practicalities like what to expect during on-site visits, how to prepare your CCO for interviews, and how to organize document production. Most useful when you're actually in an exam cycle, but also solid for proactive readiness planning if you're a newly registered RIA or broker-dealer.
npx skills add https://github.com/joellewis/finance_skills --skill examination-readiness