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What will an SEC examiner look at?
Enter your firm's name or CRD number. We read your own public Form ADV and show the areas an examiner is likely to focus on, with the records to have ready.
SEC-registered advisers. Data: the SEC's monthly adviser file (Form ADV Part 1A). Not legal advice.
Read from your filing
Every point is triggered by an answer in your public Form ADV Part 1A, and we show which one.
Tied to the rule
Each area names the rule or risk alert that makes it an exam topic.
What to have ready
The records an examiner asks for first, so you know where you stand.
Ready for your next exam?
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