Overview Of Regulatory Priorities – 2017
In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters, highlighting areas of examination focus for the year. Given that there are many common concerns, this article summarizes both letters, highlighting topics common to both investment advisers and broker-dealers, followed by topics specific to investment advisers and, finally, those specific to broker-dealers.
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