SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers
Data Matters
JANUARY 24, 2020
OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., OCIE completed 3,089 examinations in FY 2019. FY 2019 continued the trend of devoting resources to examine RIAs.
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