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SEC Exam Priorities
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Each year, the SEC issues its examination priorities. For 2019, priorities include:

  • Matters ofi mportance to retail investors, including seniors and those saving for retirement;
  • Compliance and risk in registrants responsible for critical market infrastructure;
  • Select areas and programs of FINRA and MSRB;
  • Digital Assets;
  • Cybersecurity; and
  • Anti-MoneyLaundering