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SEC and FINRA Publish 2014 Examination Priorities for Broker-Dealers



by Sutherland Asbill Brennan LLP - Washington Office

January 23, 2014

Previously published on January 17, 2014

On January 9, 2014, the U.S. Securities and Exchange Commission (SEC) published its 2014 examination priorities (SEC Letter), just one week after the Financial Industry Regulatory Authority (FINRA) published its 2014 regulatory and examination priorities for FINRA members (FINRA Letter). With the publication of these letters, broker-dealers can better anticipate where the SEC and FINRA will focus their examination priorities and enforcement programs in 2014.


 

The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance.
 

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