Compliance Solutions for Investment Advisers

SEC Examination Priorities for 2013

The National Examination program (NEP) of the Office of Compliance Inspections and Examinations (OCIE) published its examination priorities to communicate with investors and registrants about areas that are perceived by the staff to have heightened risk, and to support the SEC’s mission to protect investors, maintain fair, orderly and efficient markets and facilitate capital formation.

Subsequent blog posts will have a USCC Compliance Alert newsletter and commentary on specific initiatives.

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