SEC’s 2019 Priorities Should Become Your Firm’s Priorities

SEC Priorities

Every year, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishes its examination priorities to address risks that are a potential threat to investors or the integrity of the U.S. capital markets. On December 20, 2018, OCIE released its 2019 examination priorities, which are available at https://www.sec.gov/files/OCIE%202019%20Priorities.pdf. These priorities...

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