SEC Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities
Data Matters
FEBRUARY 13, 2018
1 As has been widely reported, the Exam Priorities’ general focus areas include: retail investors. oversight of the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB). 1 As has been widely reported, the Exam Priorities’ general focus areas include: retail investors. cybersecurity.
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