SEC Exam – Best Practices Checklist


These are examples of best practices for an investment adviser firm during a routine examination by the SEC or a state securities regulator.
Included with Bronze, Silver, Gold and Platinum Packages.



These are examples of best practices for an investment adviser firm during a routine examination by the SEC or a state securities regulator.  This checklist covers the following periods associated with an investment adviser examination:  (a) after notification but prior to the interview or visit by the securities regulator; (b) during the visit; (c) during an interview; and (d) after the interview/visit.  This list shouldn’t be considered a comprehensive of all possible issues or best practices.  This sample checklist is not a substitute for working with a compliance professional and legal counsel.

This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures.  Please see our disclosure about the limitations of sample form at


This sample document  is delivered via the purchaser’s online subscription account with RIA Compliance Consultants.  If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.  For an instructional video, please visit


Included with Bronze, Silver, Gold and Platinum.  Initially posted in August 2018. Last updated in January 2022.

Related Forms & Webinars

SEC Exam – Privilege Log

SEC Exam – Log of Requested Docs & Info

SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response

SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator

SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA


This sample document is merely an example for general reference and educational purposes.  RIA Compliance Consultants, Inc. is providing this sample document to the purchaser on an “as is” basis with no warranty or guaranty whatsoever.

This sample document should be considered a starting point, and purchaser should not treat this sample document as a final document ready for use.  The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser.

This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued.  RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser.  Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.

Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser or review any applicable rules before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely purchasing or utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment adviser laws and rules.

Purchaser is not authorized to re-sell this sample document nor license the use of this sample document to a third-party.


Before this product can be purchased, the purchaser will be directed to electronically sign a terms and use agreement.  After signing that agreement, the purchaser will be redirected to the purchaser’s shopping cart to complete the purchase transaction.

If this product involves the purchase of a sample document on a la cart basis (not part of an annual compliance program subscription), the purchaser will be able to download immediately this sample document from our online store’s website after the purchase transaction is completed. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.

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