 Our examiners come in, many of them don't know your firm. What they know they've read on your form ADV, your brochure, some other background information.”Steven Levine, associate regional director, SEC
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Summary: Advisers might not relish the prospect of an SEC exam, but think of it as a trip to the dentist: there are certain steps to take that can help prevent a routine checkup from turning into a triple root canal.
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