SEC Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities
Data Matters
FEBRUARY 13, 2018
Securities and Exchange Commission (the Commission) released its annual National Exam Program Examination Priorities (Exam Priorities). 1 As has been widely reported, the Exam Priorities’ general focus areas include: retail investors. 1 As has been widely reported, the Exam Priorities’ general focus areas include: retail investors.
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