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  2. Understand Your SEC Audit - What are Regulators Re ...
Understand Your SEC Audit - What are Regulators Really Looking For?
Course Information
Earn:
  • 1 NAPFA CE for viewing the program,
  • 1 CFP® CE with completion of the associated quiz, plus
  • 1 IAR CE from the same quiz IF YOU SUBMITTED your 7-digit individual CRD number in the pre-course survey (IAR CEs are not yet listed in the box at right but ARE available)
Content Level: Intermediate
NAPFA Subject Area: L-Strategic Thinking


NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Course Description

Unlike traditional compliance presentations that focus on regulatory theory, this session will deliver a practitioner-led deep dive into the actual audit experience and draw from authentic case studies. Attendees will have the opportunity to have a hands-on approach to strategic considerations and practical challenges that define successful audit navigation. They will receive actionable frameworks for managing their own regulatory encounters with confidence and professionalism.

Learning Objectives
  1. Understand the audit process through procedures, timelines, and IRS protocols.
  2. Implement pre-audit preparation and initial response strategies.
  3. Analyze deficiency letters and develop appropriate response strategies needed to negotiate favorable resolutions through appeals processes and settlement techniques.
Speaker
Christopher Brown

Christopher N. Brown, MBA, CFP®️, AIF®️, is President of Ivy League Financial Advisors LLC located in Rockville, Maryland. Ivy League Financial Advisors LLC provides comprehensive financial planning and investment advisory services on a “Fee-Only” basis to individuals and small businesses.

Chris holds a B.A. degree in Economics and a B.S. degree in Operations Research and Industrial Engineering from Cornell University, as well as a Master of Business Administration (MBA) Degree from the Amos Tuck School of Business Administration at Dartmouth College. He received his CFP Certification in 1997 and became a NAPFA member that same year. In 2005, he received his Accredited Investment Fiduciary Certification.

Chris has been quoted in numerous publications, including the Washington Post, the Washington Post Magazine, Kiplinger’s Personal Finance Magazine, Money Magazine, BusinessWeek Magazine, the Baltimore Sun, Mutual Funds magazine, Forbes online, and Investment Advisor Magazine. From December 2002 to February 2025, Chris was named by Washingtonian Magazine 13 times, every year the survey was published, as "One of the Top Financial Advisors You Can Trust with your Money."

Summary
Availability:
On-Demand
Access expires on Dec 31, 2026
Cost:
Member: $40.00
Non-Member: $50.00
Credit Offered:
1 NAPFA CE Credit
1 CFP® CE Credit
1 IAR CE Credit
Contains:
2 Courses
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