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., Information Security . OCIE completed 3,089 examinations in FY 2019. OCIE Examination Trends.
68 
Let's personalize your content