The SEC's Office of Compliance Inspections and Examinations released its 2018 examination priorities. Its priorities are divided into five broad categories: Compliance and risks in critical market infrastructure; Matters of importance to retail investors, including seniors and those saving for retirement; FINRA and MSRB; Cybersecurity; and AML programs.
SOURCE - SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
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