Introduction to the SEC Examination Process: What Paralegals and Attorneys Need to Know

Attorneys and paralegals will gain a deeper understanding of the SEC examination process so that they are better prepared to counsel their clients during examinations. 

After completing this session, participants will be able to: 

• How to navigate an SEC exam; 
• What it means to be a fiduciary, and associated expectations by the SEC; 
• What to expect during the SEC interview process; and 
• How to ensure your firm is best positioned to survive an exam.