Examination Readiness — SEC & FINRA Regulatory Examinations Purpose Prepare registered investment advisers, broker-dealers, and their compliance teams for SEC and FINRA examinations. This skill covers the full examination lifecycle — from risk-based selection and notification through document production, staff interviews, deficiency findings, remediation, and follow-up. It provides frameworks for mock examinations, annual compliance reviews, and proactive use of published examination priorities to reduce regulatory risk. Layer 9 — Compliance & Regulatory Guidance Direction prospective When to…