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Uptick In SEC Exams? Four Ways To Ensure A Smoother Process

By September 19, 2019May 9th, 2022No Comments

Silver Regulatory Associates has seen a huge uptick in the volume of SEC examinations among our clients this year. As the Commission closes in on its fiscal year this month, will the increase in the volume of exams continue? In this article published by AlphaWeek, our Founder and CEO, Fizza Khan, provides four tips for ensuring proper preparation for routine – and not-so-routine – SEC exams.

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