SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers
Data Matters
JANUARY 24, 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. Information Security . OCIE completed 3,089 examinations in FY 2019. OCIE Examination Trends.
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