Surviving a SEC Audit

You'll gain valuable insights from one of our industry leaders, Sheryl Rowling, Principal of Rowling & Associates (and CEO of Total Rebalance Expert).

Ms. Rowling will describe:

• What the SEC wants to see before they arrive
• Preparing for the SEC examination
• The initial interview and process
• What the SEC wants to see while in your office
• The exit interview and follow-up
• Lessons learned