From “Don’t panic” to “So once you do know what the question actually is, you’ll know what the answer means” to “I don’t know what I’m looking for . . .” to “Life’s bad enough as it is without wanting to invent any more of it” to (finally) “So long and thanks for all the fish“, all of the Tips from the Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam are available in one document.
Please contact me if you would like to learn more about applying Adams’ guidance.
Because broker-dealers, registered investment advisers and their associates want to spend their time serving their clients, not the SEC, FINRA or a state regulator.
