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

Data Matters

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments. 1 In general, the 2020 Examination Priorities continue recurring themes from recent prior years.

Retail 68
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SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

Protection of Retail Investors . For both broker-dealers and investment advisers, OCIE will continue to emphasize the protection of retail investors, particularly seniors and those saving for retirement. Retail-Targeted Investments. Information Security .

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Predictions 2024: It’s All About The Data

John Battelle's Searchblog

AI is driven by data, and as a society we’re not particularly good at structuring, governing, or sharing data. Advertising will no longer be a sideshow to its sexier device business; it will be a $10-15 billion juggernaut with 50-90-percent profit margins.

Marketing 121