ComplianceAlert

SEC’s 2015 Exam Priorities – Short List, Big Emphasis

The Nation Exam Program (NEP) and the Office of Compliance Inspections and Examinations (OCIE) today released its annual SEC Exam Priorities list. The much anticipated annual release shows where the SEC will be focusing its resources throughout the year. Since SEC resources are limited, they must be utilized wisely. Different areas are addressed each year…

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