Tag Archives: SEC Exam Priorities

SEC Releases 2019 Examination Priorities

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has released its 2019 examination priorities. OCIE publishes its exam priorities annually to promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or the integrity of the U.S. capital markets. ┬áThis year, … Continue reading SEC Releases 2019 Examination Priorities