The SEC’s Office of Compliance Inspections and Examinations (OCIE) yesterday announced its 2016 priorities. Like last year, the priorities are organized around three thematic areas:
- Retail investors, including investors saving for retirement;
- Market-wide risks; and
- Data analytics
The priorities can be found here: http://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2016.pdf.