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Agent library / Compliance and risk / SEC exam readiness check

SEC exam readiness check

PitCrew checks your records against the documents examiners commonly request and the current exam priorities, and lists what is missing or out of date.

When it runsQuarterly, or before an expected exam
Who approvesCompliance
Works withDocument storage, policy library
Get in touchDescribe your version of this task

How it works

4 steps. A person decides at the end.

  1. Takes the listCommonly requested documents
  2. Checks your recordsFor each item
  3. Lists gapsMissing or out of date
  4. A person approvesCompliance plansThe fixes

What it reads and what it produces

Reads

  • Your records
  • Your policies

Produces

  • A readiness list
  • Gaps with what's needed

Rules it follows

  • Read onlyIt changes nothing.
  • Points to the recordFor each item found.

Questions firms ask

Last updated: October 2026

How long does it take to set up?

5 working days from data access to the first production run. PitCrew experts connect your systems and enter your firm's rules.

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