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BAKERSFIELD COLLEGEPATHWAYSCOMMUNICATION PLAN FALL 2017 BRIEF OVERVIEW:Phase 1 Focus: SEP and UpdatesPhase 2Phase 3Focus: 15 units a semester (30 a year) and Math and English in first refocus: 15
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Focus SEP (Supervised Investment Firm) and updates are required filings for investment firms that are subject to SEC oversight.
Investment firms that are subject to SEC oversight are required to file focus SEP and updates.
Focus SEP and updates can be filled out electronically through the SEC's online filing system.
The purpose of focus SEP and updates is to provide the SEC with information about the firm's operations, compliance, and financial condition.
Information such as the firm's assets under management, key personnel, regulatory actions, and disciplinary history must be reported on focus SEP and updates.
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