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.