2017, Education, Exercises and Military - Information Management Today

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2017

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. Compared with FY 2017, the number of examinations has increased almost 7%. While this represents a 2.7%

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., Compared with FY 2017, the number of examinations has increased almost 7%. While this represents a 2.7%

Cybersecurity

Cybersecurity Retail Compliance Marketing

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

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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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