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SEC & FINRA: Shared Regulatory Priorities for 2019

SEC & FINRA: Shared Regulatory Priorities for 2019 | JD Supra

Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. FINRA’s 2019 Annual Regulatory and Examination Priorities Letter can be found here, and the SEC Office of Compliance Inspections and Examinations (OCIE)’s 2019 National Exam Program Examination Priorities can be found here.