A recent survey found compliance professionals are increasing their use of SEC mock exams, which have been prevalent for many years but are now becoming more in-depth.
Asset management partner Jason Brown told Ignites that, “in the past 10 years, mock SEC exams have been more focused on specific topics, reflecting the large number of proposals made by the commission.”
“There are still certainly broad-based exams,” he said. “But you see far more focused exams now.”
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