SEC 2013 Examination Priorities

February 22, 2013

On February 21, 2013 the SEC released its 2013 examination
priorities. The SEC states that with respect to broker-dealers it is going to
continue to focus on sales practice/fraud, trading, capital, and AML. New
issues of concern for the examination process are: the market access rule,
proprietary trading, technology and dual registration particularly with the

Please click
here to see the full release
. As always please contact Seward & Kissel if
you have any questions concerning how this may effect your business.


Compliance, News, SEC