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SEC publishes examination priorities for 2015

  • SEC document Image

Jan 13, 2015

The SEC’s Office of Compliance Inspections and Examinations has published its examination priorities for 2015. The priorities focus on “protecting retail investors, especially those saving for or in retirement; assessing market-wide risks; and using data analytics to identify signs of potential illegal activity.”

The document is not necessarily comprehensive and “may be adjusted in light of market conditions, industry developments, and ongoing risk assessment activities.” 

For more information, see the press release and 2015 examination priorities on the SEC’s Web site.

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