No
Yes
View More
View Less
Working...
Close
OK
Cancel
Confirm
System Message
Delete
Schedule
An unknown error has occurred and your request could not be completed. Please contact support.
Scheduled
Wait Listed
Personal Calendar
???connect.schedule.participant???
Conference Event
Meeting
Interest
There aren't any available sessions at this time.
Conflict Found
This session is already scheduled at another time. Would you like to...
Loading...
Please enter a maximum of {0} characters.
{0} remaining of {1} character maximum.
Please enter a maximum of {0} words.
{0} remaining of {1} word maximum.
must be 50 characters or less.
must be 40 characters or less.
Session Summary
We were unable to load the map image.
This has not yet been assigned to a map.
Search Catalog
Reply
Replies ()
Search
New Post
Microblog
Microblog Thread
Post Reply
Post
Your session timed out.
Meeting Summary
The session has been added to your schedule
The session has been removed from your schedule
 

SEC Priorities and How You Can Prepare for an Examination

Session Speakers
Session Description

Why Attend

Learn about the SEC’s current advisor priorities and how you can prepare for the SEC National Exam Program.

Session Details
Last year the SEC examined 15% of its registrants, and the number is expected to rise. Are you ready for the exam? A subject-matter expert will use case studies to evaluate hypothetical examination requests and discuss factors you should consider and resources you can employ when providing documents and responding to questions. In this session, find out about:

  • This year’s areas of focus, including services to retirement accounts, aging client issues, cybersecurity, performance advertising, and disclosure of conflicts of interest
  • How regulators evaluate sales practices
  • Steps you can take and a checklist of tips to prepare for the exam

Additional Information
CPE-2 hrs
Pre-Conference Session
2h
Session Schedule