Passing the Exam: What You Need to KnowFebruary 1, 2016 – Articles National Society of Compliance Professionals
Being Examined by the SEC or FINRA is never a fun process. Further, the frequency of their knocking at your proverbial door is only likely to increase in the future. In fact, the SEC has stated that it will prioritize never-before-examined investment advisers and investment companies this year.
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