ANALYSIS: SEC, FINRA Show Their Hands With 2020 Exam Priorities

Jan. 27, 2020, 11:43 AM

Earlier this month, both the SEC and FINRA published their exam priorities for 2020. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities, followed by FINRA’s release of its 2020 Annual Risk Monitoring and Examination Priorities Letter (priorities letter).

These reports provide insights into the areas (practices, products, and services) each regulator believes present potential risks to investors and market integrity in the upcoming year. While the reports are not exhaustive of potential examination priorities—all areas of compliance are open game, after all—they do detail key areas where FINRA and the SEC will focus their ...

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