2021 SEC Exam Priorities$69.95
Compliance Risks of Using Wrap-Fee Program$69.95
Dissecting the SEC's Enforcement Action Against an Investment Adviser Recommending Fixed Indexed Annuities$69.95
Private Fund - Common Issues for Adviser to Private Fund$200.00
Recorded Webinar : Insight into SEC Exam Priorities for 2015$69.95
Recorded Webinar: 2020 SEC Exam Priorities for Investment Advisers$69.95
SEC Exam - Privilege Log$50.00
SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response$25.00
SEC Exam – Log of Requested Docs & Info$35.00
SEC Exam – Mock Exam Document Request List$200.00
SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator$25.00
SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA$250.00
SEC's New Marketing Rule - Session 1 - Advertising$69.95
SEC's New Marketing Rule - Session 2 - Solicitations$69.95