SEC Staff Announces 2014 Broker-Dealer Examination Priorities
By EsqSocial Corporation 30/01/14
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced the 2014 examination priorities (the “Announcement”) for its National Examination Program (the “NEP”). The priorities are organized according to the NEP’s four distinct...
By: Goodwin Procter LLP