The Financial Industry Regulatory Authority published its 2020 Risk Monitoring and Examination Priorities Letter (Priorities Letter) on January 9, 2020. The Priorities Letter identifies four core areas on which FINRA will...more
2/25/2020
/ Broker-Dealer ,
Cash Transactions ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Form CRS ,
Fund Managers ,
Initial Public Offering (IPO) ,
Integrity Policies ,
Investment Adviser ,
Regulation Best Interest ,
Retail Investors ,
Sales ,
Securities and Exchange Commission (SEC) ,
Supervision
Next year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on December 20, 2018, and cover six broad, albeit...more
12/22/2018
/ Anti-Money Laundering ,
Compliance ,
Critical Infrastructure Sectors ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Elder Issues ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Coin Offering (ICOs) ,
Market Infrastructure ,
MSRB ,
OCIE ,
Publicly-Traded Companies ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission (SEC) on March 22, 2017 adopted amendments to Rule 15c6- 1(a) under the Securities Exchange Act of 1934 (Exchange Act), to shorten the standard settlement cycle for securities...more
The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 11, 2016 announced its examination priorities for this year, which “address issues across a variety...more
2/17/2016
/ Analytics ,
ETFs ,
Financial Institutions ,
OCIE ,
Popular ,
Retail Investors ,
Retirement ,
Risk Assessment ,
SEC Examination Priorities ,
Securities Exchanges ,
Variable Annuities