SEC and FINRA securities regulatory and examination priorities of 2017

SEC and FINRA securities regulatory and examination...

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their annual letters outlining regulatory and examination priorities for 2017.

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The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their annual letters outlining regulatory and examination priorities for 2017. The SEC and FINRA share a number of the priorities, which broadly include “matters of importance to retail investors” such as high risk and recidivist brokers, protecting senior investors and retirement investment accounts as well as maintaining the integrity of the markets and assessing marketwide risks, such as the risks associated with cybersecurity and anti–money laundering compliance.

This Client Alert provides firms with a road map for proactively reviewing and strengthening the compliance program areas that are likely to be subject to heightened regulatory scrutiny this year.

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