Secure Wealth IT

The SEC showed its Reg S-P document request list. Here’s how to produce every item.

In January 2026, SEC exam staff walked through a sample Regulation S-P document request and a mock exam. This guide takes every item on that list and covers what the SEC didn't: which system produces it, how to set that system up, and what a strong answer looks like.

Know exactly what an examiner asks for first, taken from the SEC's own sample request

See which of your systems produce each document, so the job doesn't land on your CCO alone

Compare your files against side-by-side strong and weak versions of every item

Give each item an owner and a location with the readiness tracker, so you can produce it in days, not weeks

Prepare your IT provider for the interview questions examiners may ask them

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Written by Harrison Baron at Secure Wealth IT, a Charlotte, NC IT and cybersecurity firm that works with RIAs, financial advisors and broker-dealers. Every item is tied to the SEC's published materials and rule text.

What's Inside

Everything in the annotated list

The four-phase exam workflow

The four-phase workflow SEC exam staff described, step by step.

All 11 items, annotated

Every item on the sample initial document request, annotated.

The rule behind each item

The rule each item ties to: 17 CFR 248.30, Rules 204-2 and 206(4)-7.

Likely follow-up requests

Follow-up requests examiners are likely to make, based on the rule text.

Interview topics

Topics to prepare your team and your IT provider for.

A one-page readiness tracker

A one-page tracker for owners and locations, so each item can be produced quickly.

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