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7 Things to Do Before an SEC Audit
An advisor's initial instinct when notified of a pending examination may be to worry or be nervous. As with any regulated industry, however, firm examinations will occur -- so we recommend that you take fear out of this process.

Once you receive notification of a regulatory examination, stay calm and follow these seven steps. (Page through to see all the steps, or click here to see them in a single page.) -- Brian Hamburger & Gary D. Davis

Brian Hamburger is president and CEO and Gary D. Davis is program director at MarketCounsel, a compliance consulting firm based in Englewood, N.J.

Image: Bloomberg


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