Schwab IMPACT 2018

Speaker: Michelle Jacko

Topic: “Passing With Flying Colors: How to Prepare for an SEC Examination”

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

Dates: October 28 – 31, 2018
Location: Washington, DC

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