Tag Archives: Exam Priorities

FINRA 2018 Regulatory and Examination Priorities Letter

The 2018 Regulatory and Examination Priorities Letter is an affirmation  that the coming year will bring both continuity and change in FINRA’s regulatory programs. The continuity comes, first in the commitment of FINRA to their stated mission: protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets. The Priorities Letter speaks to … Continue reading FINRA 2018 Regulatory and Examination Priorities Letter

SEC Exam Priorities for 2017 Released

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) has released the SEC Exam Priorities for 2017 (the “SEC Exam Priorities”).  In general, the SEC Exam Priorities reflect certain practices, products, and services that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. … Continue reading SEC Exam Priorities for 2017 Released

FINRA Releases its 2017 Exam Priorities Letter

On January 4, 2017, the Financial Regulatory Authority (FINRA) started the new year with a bang as it published the Regulatory and Examination Priorities Letter (Exam Priorities Letter) for 2017.  FINRA publishes the priorities letter annually to provide information to member firms about areas of concern that  FINRA plans to review in its 2017 exam … Continue reading FINRA Releases its 2017 Exam Priorities Letter

Cyber-Security Procedures and Data Classification

In the on-going evolution of the fight against cyber-security threats, broker-dealers and investment advisers need to have robust cyber-security policies and procedures.  One of the initial steps is to think about creating a data classification policy to better understand the real types of sensitive information shared within the firm.  Once you have classified the data … Continue reading Cyber-Security Procedures and Data Classification

SEC Releases the 2016 Examination Priorities

The Securities and Exchange Commission released its Office of Compliance Inspections and Examinations’ (OCIE) 2016 exam priorities. New areas of focus include liquidity controls, public pension advisers, product promotion, and two popular investment products, exchange-traded funds and variable annuities.  The priorities also reflect a continuing focus on protecting investors in ongoing risk areas such as cybersecurity, microcap fraud, fee … Continue reading SEC Releases the 2016 Examination Priorities