SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers
Data Matters
FEBRUARY 20, 2020
In particular, firms can expect OCIE examinations to focus on the following core areas with respect to retail investors (which may include retail customers, clients and fund investors): Fraud, Sales Practices and Conflicts of Interest. Sales Practice and Supervision. Sales of Initial Public Offering Shares.
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