Joot Interview Series - Episode 8

In this final part of our third Interview (Part 1, Part 2). Bo Howell continues his discussion with Charles Black about the DO's and DON'Ts of 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 3 here: 

 

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