Division of Exams' Priorities

OCIE’s 2016 Exam Priorities

This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities reflect certain practices and products that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.

Carl Ayers

January 11 2016

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