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Wealth Advisor Daily
The advisor's edition — practice, portfolio, and the book.
Tuesday, October 6, 2026The Morning Brief →Sign in
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Keith Cassidy

In PWD coverage since October 1, 2026 · 2 stories
PWD coverage
practice

SEC exam division replaces its brochure with a stage-by-stage handbook

The guide runs from the division's risk assessment to the disposition letter, and the SEC says the aim is a more consistent and predictable exam.
regulation · Oct 1SEC Division of Examinations publishes exam process handbook for registrants
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