SEC 2017 Examination Priorities Focus on Retail Investors, Seniors and Retiring Investors, and Market-Wide Risk Assessment

January 25, 2017

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 12, 2017 announced its examination priorities for the current year. The priorities extend to nearly every area of the SEC’s jurisdiction, including registered investment advisers, advisers to private funds, municipal advisors, investment companies, broker-dealers, national securities exchanges, transfer agents and clearing agencies. The 2017 examination priorities focus primarily on:

  • Protection of retail investors;
  • Risks specific to elderly and retiring investors; and
  • Market-wide risk assessment.

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