SEC Announces Examination Priorities for 2019
Data Matters
JANUARY 16, 2019
In fiscal year (FY) 2018, the OCIE National Exam Program examined approximately 17 percent of SEC-registered advisers (RIAs), up from 15 percent during FY 2017 and 11 percent during FY 2016. Continued Focus on Retail Investors. The number of investment advisers examined by OCIE has increased significantly in recent years.
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