Info Source

AUGUST 29, 2022

WHAT IS GOING ON IN THE RUSSIAN MARKET? Among the permanent factors affecting the Russian market are, for example, the unemployment rate, low real wages, and extreme social inequalities, which remain high both in large cities and rural areas. Therefore, what is going on in the vast Russian market at present?

Marketing 52

Marketing Manufacturing Sales Military 52

Data Matters

FEBRUARY 20, 2020

Broker-dealers may be selected for examination based on their market making or other significant trading activity in unlisted securities, as well as employing registered personnel with disciplinary history. Retail-Targeted Investments. Additional Focus Areas Specific to Broker-Dealers. OCIE Examination Trends.

Retail 68

Retail Compliance Marketing Risk 68

Data Matters

JANUARY 24, 2020

OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., Retail-Targeted Investments. Additional Focus Areas Specific to Broker-Dealers. OCIE Examination Trends.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68