January 26, 2017
SEC Exam Priorities for 2017 Released
The SEC announced its 2017 examination priorities on Jan. 12 for the Office of Compliance Inspections and Examinations (OCIE). The list includes electronic investment advice, money market funds and financial exploitation of seniors. The priorities...
You must be a subscriber to access this information. If you are a subscriber, please login. Not Yet A Subscriber? Register for a free trial or contact Client Services at 800-677-3789 to activate your subscription.