SEC REGISTRATION
Is Your Firm Ready for SEC Registration—and the Exams That Follow?
STP’s ComplianceAdvisor team helps firms navigate SEC registration and prepare for the rigorous examination process that follows.
From initial filings to mock SEC exams that replicate real regulatory reviews, we give you the insight, tools, and confidence to meet SEC standards and avoid costly deficiencies.
Approach Compliance with Confidence. Book a Meeting.
Don’t Wait for the SEC to Find Compliance Gaps
Our process combines registration expertise with proactive exam preparation, helping you address issues before regulators do. Whether you’re transitioning from ERA status, registering for the first time, or strengthening an existing program, STP delivers proven strategies to keep you compliant and exam-ready.
SEC Registration Guidance
Mock SEC
Exams
Annual Compliance Reviews
Identify deficiencies and implement fixes before your next exam cycle.
Regulatory
Filings
Policy & Procedure Development
Ongoing Compliance Consulting
Mock SEC Exam Timeline: What to Expect from Start to Finish
A detailed, step-by-step guide to help you understand how a third-party mock exam works, and why it’s smart risk management.
MOCK SEC EXAM
The Smartest Way to Protect Your Firm Before the Regulator Arrives
Independent Oversight
Internal teams are often too close to the day-to-day. A third party brings objectivity and an unbiased evaluation of your firm’s compliance program.
Exam Expertise
Seasoned compliance consultants, who have guided numerous clients through a variety of exam scopes, know exactly how the real exam plays out, and what red flags the regulators are watching for.
Team Readiness
Staff interviews can be the most nerve-wracking part of a real exam. A mock process trains your team, guides your staff on what not to say, and builds confidence.
Risk & Cost Mitigation
Many insurance policies offer reimbursement or premium credits for proactive testing like mock exams. Even without that, the cost of a mock exam pales in comparison to regulatory enforcement, legal fees, or reputational damage.
PERSPECTIVES
Practical Insights for Navigating SEC Registration and Exams
For registered investment advisers, the decision to outsource a Chief Compliance Officer is not about convenience; it is about building a sustainable compliance program. The most successful outsourced compliance engagements...
Investment Advisers continue to offer wrap fee programs, but some of these advisers are unable to clearly explain how these programs operate, how fees are structured and where conflict of...
The SEC’s amendments to Regulation S-P represent one of the most meaningful shifts in data protection expectations for registered investment advisers in years. What was once largely viewed as a...
ERA to SEC Registered Advisor: Simplify Your Transition
Our ERA to SEC Registered Advisor Guide provides the step-by-step process of registering properly and complying with the Advisers Act requirements.
