Summary
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.
Install to Claude Code
npx -y skills add joellewis/finance_skills --skill examination-readiness --agent claude-codeInstalls into .claude/skills of the current project.
Keep your Mac awake while Claude Code and 40+ AI agents run. Sleeps when they're idle.
One time payment $9 →
Integrate web data into your AI product. One API to scrape website & brand data.
Get API Key Now →
Agent, run crypto. Access onchain data & trade routes via 1inch.
Install now →
On Capafy, your Skill runs online 24/7 as an agent product, and you get paid every time someone uses it.
Start earning →
Files
SKILL.md
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Featured
Keep your Mac awake while Claude Code and 40+ AI agents run. Sleeps when they're idle.
One time payment $9 →Integrate web data into your AI product. One API to scrape website & brand data.
Get API Key Now →Agent, run crypto. Access onchain data & trade routes via 1inch.
Install now →On Capafy, your Skill runs online 24/7 as an agent product, and you get paid every time someone uses it.
Start earning →
