SEC Releases Its 2021 Exam Priorities
By Ryan C. Young and Matthew T. Boos
The SEC, through its Division of Examinations, has published its exam priorities for 2021. According to the SEC, these priorities reflect certain practices and products that may present more risk to investors and/or the integrity of the U.S. capital markets. This article contains several items of interest to Registered Investment Advisers and Broker-Dealers.