Please fill out the form below to sign up for the live webinar.
Are you prepared for an SEC Exam?
Need-to-Know Tips and Best Practices for Keeping Your Firm Compliant
Are you among the 40% of advisors who have never been examined by the SEC? During this webinar, you’ll learn more about what the SEC will be focusing on and how you can prepare your firm for an inevitable upcoming exam.
Date and time: June 25th, 1:00 PM EST