2014, Education, Exercises and Marketing - Information Management Today

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2014

Education

Exercises

Marketing

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

Data Matters

FEBRUARY 20, 2020

Broker-dealers may be selected for examination based on their market making or other significant trading activity in unlisted securities, as well as employing registered personnel with disciplinary history. Retail-Targeted Investments. Additional Focus Areas Specific to Broker-Dealers. OCIE Examination Trends.

Retail

Retail Compliance Marketing Risk

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

Data Matters

JANUARY 24, 2020

OCIE will continue to focus on investment products marketed and sold to retail investors, including mutual and exchange-traded funds, municipal and other fixed income securities and microcap securities. The digital asset market, which includes cryptocurrencies, coins and tokens, has grown rapidly and continues to be an area of focus for OCIE.

Cybersecurity

Cybersecurity Retail Compliance Marketing

Webinars

Generative AI Deep Dive: Advancing from Proof of Concept to Production

MORE WEBINARS

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

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

Webinars

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