Posts tagged 2016 Exam Priorities.
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SEC Announces 2016 Exam Priorities

The SEC's Office of Compliance Inspections and Examinations ("OCIE") announced the agency's priorities for this year on January 11. Commission staff will focus on three broad areas: Retail Investors, Market-Wide Risks, and increased used of Data Analytics. Retail Investors Seniors top the list in this category, as the SEC continues its "ReTIRE" initiative announced last June. A nod to the aging boomer bubble, the ReTIRE program is a multi-year effort focusing on investment-adviser and broker-dealer issues in the retirement savings context, including: reasonable-basis ...

Posted in: OCIE, SEC
Tags: 2016 Exam Priorities, burr forman, OCIE, Office of Compliance Inspections and Examinations, ReTIRE, SEC, securities litigation, Securities Litigation & Arbitration
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