How to Prepare for an SEC Exam in 2025: A Step-by-Step Guide

Introduction: The Exam That Shaped a Decade   In 2007, the SEC’s examination of a midsize advisory firm uncovered a chain of internal miscommunications that, while not fraudulent, revealed a failure to supervise. It was a turning point. The firm, which had prided itself on ethical transparency, realized too late that good intentions don’t matter […]