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Complimentary Webinar: Practical guidance on SEC focus areas and preparation pointers
The SEC is not slowing down their pace of conducting examinations, whether virtual or live. Investment Advisers and Dual Registrants are under ongoing pressure to ensure that all aspects of their compliance operations stand up to continued scrutiny.
With the dynamic changes happening within the past 18 months through planned and forced circumstances, firms need to be ready to respond to the SEC’s evolving priorities.
This 30 minute complimentary webinar will provide an overview on SEC focus areas and preparation pointers.
After attending this webinar, you’ll learn:
- How exams have changed
- How to prepare for an exam
- How to identify deficiencies before they become liabilities
*This webinar does not count towards continuing education credits for the IACCP® program.
Vice President, Consulting & Education, NRS
Marilyn joined NRS in 1994 as a Consultant. In 1999, Marilyn became a Senior Consultant; in 2007 was named VP of NRS Investment Adviser Services; and in 2015, Marilyn was named VP of NRS Consulting & Education departments. In this capacity, Marilyn manages the firm’s consulting services and education departments, overseeing the hiring, training and overall performance of the teams.
Marilyn is a frequent speaker at NRS and industry conferences. She is also an expert lecturer in the IA Certified Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA). Marilyn contributes to and/or has been sought for comment and information by leading industry publications, including, among others, The Wall Street Journal and Financial Planning Magazine, on various compliance topics.
Marilyn received a Bachelor of Arts degree in English from Regis College, magna cum laude, and a Juris Doctor degree from New England School of Law. She is a member of the State Bar of Massachusetts, and is actively involved in volunteering for the Juvenile Diabetes Research Foundation.