Posts tagged 2015 Exam Priorities.
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SEC Announces 2015 Exam Priorities

The SEC's Office of Compliance Inspections and Examinations ("OCIE") released its 2015 Exam Priorities January 13. Director Andrew Bowden's annual list details OCIE's subject of focus for the coming year. The hot topics for 2015 include: For Retail securities sales: - The "retail-ization" of private funds, illiquid investments and structured or other alternative products that pose extra risks when complex products are sold to "mom and pop" investors; - Fees & "reverse churning" (a fixed asset-based fee on accounts with little or no activity) - when account or commission ...

Posted in: FINRA, OCIE, SEC
Tags: 2015 Exam Priorities, Director Andrew Bowden, finra rule 2111, OCIE, Office of Compliance Inspections and Examinations, SEC, Securities Exchange
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