The Securities Litigation Expert Blog

2013 SEC Examination Priorities

Posted by Jack Duval

Feb 22, 2013 1:37:52 AM

The SEC has released it's 2013 Examination Priorities.  (SEC)  The priority list includes:



  • For investment advisers and investment companies — presence exams for newly registered private fund advisers, and payments by advisers and funds to entities that distribute mutual funds

  • For broker-dealers — sales practices and fraud, and compliance with the new market access rule

  • For market oversight — risk-based examinations of securities exchanges and FINRA, and order-type assessment

  • For clearing and settlement — For transfer agent exams, timely turnaround of items and transfers, accurate recordkeeping, and safeguarding of assets. For clearing agencies designated as systemically important, conduct annual examinations as required by the Dodd-Frank Act.



See our coverage of the Finra 2013 exam priorities here.
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Topics: FINRA, examination, Dodd-Frank, Investment Advisors, investments, SEC, Compliance, Dodd-Frank Act, regulation.

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