
By Ed Wegener
Subscribe to our original industry insightsWhile there isn’t much of a departure from previous years’ priorities, this year’s report reflects an increased focus on recently adopted rules, including Rule 206(4)-1 (the Marketing Rule), Rule 18f-4 (the Derivatives Rule), Regulation Best Interest and Rule 2a-5, (the Fair Valuation rule).
The Commission will continue to prioritize compliance with standards of conduct for broker-dealers and registered investment advisors (RIAs). Exams may focus on:
Other areas of focus will include Reg BI, cryptocurrency, cybersecurity, and emerging markets.
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