SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers
Data Matters
FEBRUARY 20, 2020
Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) recently published their examination priorities (together, the Examination Priorities) for the 2020 calendar year. Protection of Retail Investors .
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