2010, Exercises, Marketing and Military - Information Management Today

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2010

Exercises

Marketing

Military

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

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. OCIE Examination Trends. OCIE completed 3,089 examinations in FY 2019.

Retail

Retail Compliance Marketing Risk

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

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. OCIE Examination Trends. OCIE completed 3,089 examinations in FY 2019.

Cybersecurity

Cybersecurity Retail Compliance Marketing

Webinars

Generative AI Deep Dive: Advancing from Proof of Concept to Production

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SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Webinars

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