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SEC Examiners Trends & Lessons Learned

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Download the slides from MyComplianceOffice's August webinar with co-host NorthPoint Compliance, SEC Exam Success with Ex-Examiners. Discover the “do's and don'ts” when responding to a document request list and when being interviewed by SEC examiners, the trends of the SEC’s current examination program, and lessons to be learned from SEC enforcement actions.