Examining SEC’s 2018 Exam Priorities

Law360 (February 23, 2018, 11:36 AM EST) -- The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations released its 2018 National Exam Program Examination Priorities on Feb. 7, 2018. While issued later than in years past and almost a month to the day after the publication of the priorities letter from the Financial Industry Regulatory Authority, the OCIE deserves credit for the increased transparency and guidance provided in the 2018 priorities letter. By way of perspective, the OCIE’s sixth publication of its examination priorities more than doubled the amount of information provided in last year’s edition. This improved transparency is consistent with the public statements of...

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