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Surviving an SEC Audit:
Tales from a Very Recent Experience

This webinar, recorded live, will prepare you for the inevitable visit from the SEC.
  • What the SEC wants to see before they arrive
  • Preparing for the SEC examination
  • The initial interview and process 
  • What the SEC wants to see while in your office 
  • The exit interview and follow-up
  • Lessons learned 

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Presented by Sheryl Rowling, principal of Rowling & Associates (and CEO of Total Rebalance Expert)

Sponsored by


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