New Podcast: 2020 Exam Priorities, Part 3

This week’s episode of Oyster Stew is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Technology and Cybersecurity, Business Continuity Plans, Cash Management and Bank Sweeps. Oyster provides free resources such as podcasts and blogs, as well a… READ MORE

New Podcast: 2020 Exam Priorities Letters – Part 1

In case you’re wondering what the regulators will be focusing on this year, they let you know when they publish their annual Exam Priorities Letters. This week’s episode of Oyster Stew is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and… READ MORE

FINRA Releases 2020 Exam Priorities Letter

On January 9, 2020, FINRA released its 2020 Risk Monitoring and Examination Priorities Letter.  While many of the priorities are continuations from previous years and all areas are important, the recent Letter pointed to some new or refined focus areas: Sales Practices Regulation Best Interest:  There are still many firms that have not started the… READ MORE

2020 SEC Examination Priorities Released

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released their 2020 Examination Priorities Letter on January 7, 2020.   While every area is important, when you read this in context of prior releases, most of the priorities are the same; however, there are some evolving priorities as well. Regulation Best… READ MORE

SEC Exam Priorities – Regulatory Focus in 2019

  The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 Examination Priorities on December 20, 2018. While most of the topics are familiar, there are a few new items of note. OCIE has divided its priorities into four categories:     Retail Investors, Including Seniors and Those Saving for Retirement OCIE will… READ MORE

SEC Posts 2018 Exam Priorities

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2018 National Exam Program examination priorities yesterday. While most of the topics are familiar, there are a few new items of note. OCIE has divided its priorities into four categories: Retail investors including Seniors and those saving for retirement “Disclosures of the Costs of… READ MORE

SEC Publishes 2017 Annual Exam Priorities Letter

Last week, the SEC published its National Examination Priorities for 2017 letter. And while we are all waiting for more clues as to how the new administration will impact regulation, these priorities can be used today as a list of items to review internally. So take a look at your risk assessments, policies and procedures,… READ MORE