SEC EXAMS for RIAs: What you Need to Know to Prepare – NSCP Currents

In her article published in the October 2023 issue of the NSCP Currents Newsletter, “SEC Examinations for RIAs: What You Need to Know to Prepare," Managing Partner Michelle Jacko touches on several key elements in getting ready for the SEC exams. She provides an overview of the program, a guideline on how the process works, what RIAs can do to prepare, and what to expect after the EXAMS.

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