SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers
Data Matters
FEBRUARY 20, 2020
decrease from FY 2018, OCIE attributes the relatively small decrease to the month long suspension of examinations during the 2019 government shutdown. In FY 2019, OCIE examined approximately 15% of all RIAs, notwithstanding the government shutdown in early 2019. Information Security . OCIE completed 3,089 examinations in FY 2019.
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