Following closely on the heels of FINRA’s publication of its examination priorities for 2014 (see our recent client alert), OCIE’s National Exam Program (NEP) released a summary of its 2014 priorities. OCIE’s priorities represent a cross-divisional effort at the SEC and reflect the staff’s assessment of information including:
• data from reports filed with the SEC;
• data gathered in the course of examinations;
• whistleblower tips;
• data retrieved from third-party databases;
• tips and communications from other regulators, including those outside the U.S.; and
• interactions with registrants, industry groups and service providers outside the examination process.
Please see full alert below for more information.
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