• SEC and FINRA Publish 2014 Examination Priorities for Broker-Dealers
  • January 23, 2014
  • Law Firm: Sutherland Asbill Brennan LLP - Washington Office
  • 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.