- November 2009 (2)
You know a Securities and Exchange Commission (SEC) exam is inevitable and yet is your organization prepared? It is projected that a Registered Investment Advisory (RIA) firm will receive an SEC exam every ten years whether or not there is direct cause. This 14-page white paper will help you understand what brings the SEC to your door. More importantly, it provides you with actions you can take to prepare for an SEC exam so that when the call comes, there is minimal stress and disruption to your firm. If you are an RIA firm principal, operations manager, or Chief Operating Officer, this is a must read.