Gemini Blog

Gemini Blog 2018-06-05T17:05:00+00:00
3105, 2018

The Importance of SEC Mock Exams

By | May 31, 2018|Uncategorized|

Recently, the U.S. Securities and Exchange Commission (SEC) has been showing up unannounced at registered investment advisors’ (RIA) offices to conduct surprise investigations in order to: Better understand how an RIA operates on an everyday [...]