Peer Reviewers

    For Peer Reviewers 

    If you are interested in peer review, a new peer reviewer or an experienced peer reviewer, click a link below for helpful information.

    QCM Reviews

    The QCM Reviews web page provides useful information related to these types of reviews. If you are a QCM Reviewer, the page contains forms and practice aids for you. If you are interested in accessing QCM review results, you can download reports and related acceptance letters from the providers.

    PRISM Member Self-Service Instructions

    The PRISM Member Self-Service Instructions provide a guide to using Member Self-Service, which includes updating your reviewer resume and firm on firm contacts.

    Auditors of Broker Dealers

    Does your firm perform audits of broker dealers? Refer to Information for Firms that Perform Broker-Dealer Audits or Attestation Engagements and Broker-Dealer Engagements: Peer Review Implications for more information. 

    Instructions for Searching the Department of Labor's EFAST2 Website

    Download instructions to search the Department of Labor's EFAST2 website for Form 5500 filings. Please note, reviewers are not required to search Form 5500 filings when performing Peer Reviews.