Joot Interview Series - Episode 6

In our third Interview, Bo Howell speaks with the newest member of Joot, Charles Black, to discuss SEC Exams.  Charles brings over 17 years of experience in the financial services industry to provide great tips and insight on what to do when the SEC calls.

Topics of this three-part interview include:

  • How to approach an SEC exam.
  • Responding to SEC exam requests. (DOs and DON'Ts)
  • SEC exam interview tips
  • Trends in SEC exams
Listen to Part 1 here:

 

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