SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers
Data Matters
JANUARY 24, 2020
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. Financial Technology (FinTech) and Digital Assets.
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