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SEC’s Division of Examinations Announces New Exam Handbook
Source: U.S. Securities and Exchange Commission
Regulation & LegislationManagement & Governance
The SEC Division of Examinations published a new examination handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” replacing and expanding its prior examination brochure. The handbook provides updated guidance on the SEC examination process and engagement expectations, with implications for regulated firms’ compliance and governance practices.
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