SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers
Data Matters
FEBRUARY 20, 2020
Focus areas for such examinations will include sales practices, supervision of high-risk personnel and compliance with key regulatory requirements (including Rule 15c2-11 under the Securities Exchange Act of 1934, as amended (Exchange Act), the locate requirement of Regulation SHO and the obligation to file suspicious activity reports (SARs)).
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