Topic SEC Examinations
Is your RIA firm prepared for a visit from the SEC? Joot helps ensure your RIA compliance program is exam ready—so you can keep doing what you do best. Read about SEC exam priorities and more below.
Real World Insight from Current SEC and FINRA Exams
A big part of what we do here at Joot is help our clients with their regulatory examinations.
SEC Exam Priorities 2020
The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 examination priorities on January 7, 2020.
Reality Check: Observations from Exams in the RIC Initiatives
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
How to Prepare for an SEC or FINRA Regulatory Examination
Get our advice on how to prepare for an SEC or FINRA regulatory examination.