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SEC Examinations – What To Do When The SEC Visits

This important event will be held on March 30 at 4:15pm EST and presented by Patrick J. Burns, Jr., JD who is the managing attorney with the Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm dedicated to assisting industry members with their legal needs. His presentation will focus on everything you need to know and how to prepare for a ‘short-notice’ examination.

 

  1. What to do, how to prepare, given the usual 48-72 hour notice
  2. Focus areas, i.e., ‘hot spots’
  3. Current tone and tenor of SEC examiners
  4. Problems
  5. Areas of focus on the horizon  

 

 


 

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