Clearing the Air VIII

Topic I - Intro Topic II - SEC 8 major areas Topic III - Digital assets and electronic investment advice Topic IV - NASAA IA Section report Topic V - Outro

SEC 2020 Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2020.pdf

NASAA 2019 Investment Adviser Section Report https://www.nasaa.org/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf

RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: [email protected] Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/

Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/

Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/

Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/