2010, Education, Exercises and Military - Information Management Today

Search:

DAY

WEEK

MONTH

YEAR

Select your country:
Sign up | Log in

2010

Education

Exercises

Military

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

Data Matters

FEBRUARY 20, 2020

OCIE will continue to examine municipal advisors (including broker-dealers and RIAs dually registered as municipal advisors) for compliance with registration, professional qualification and continuing education requirements. Additional Focus Areas Specific to Broker-Dealers. Market Integrity. Firm Operations. Cybersecurity.

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 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., Additional Focus Areas Specific to Broker-Dealers. FY 2019 continued the trend of devoting resources to examine RIAs.

Cybersecurity

Cybersecurity Retail Compliance Marketing

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

Stay Connected