Israel Dahan

Israel Dahan

King & Spalding

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2017 Financial Industry Regulatory Priorities - OCIE and FINRA Announce Examination Areas of Focus

In early January, both the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) and FINRA announced their examination priorities for 2017. As in previous years, both the SEC and FINRA share many examination...more

1/17/2017  /  Broker-Dealer , Examination Priorities , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Investment Adviser , OCIE , Securities and Exchange Commission (SEC)
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