SEC Office of Compliance Inspections and Examinations (“OCIE”) Announces 2019 Examination Priorities

Each year OCIE publishes its exam priorities to promote transparency of its examination program which oversees investment advisers, mutual funds and exchange traded funds, broker-dealers, transfer agents, clearing agencies, national securities exchanges, municipal advisors, FINRA, MSRB, SIPC and PCAOB. This … Read More ›