Transcription of 2021 Examination Priorities Report - SEC.gov
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2021 Examination Priorities Report - SEC.gov
SECURITIES AND. EXCHANGE COMMISSION. 2021. Examination Priorities . Division of Examinations DISCLAIMER: This statement represents the views of the staff of the Division of Examinations. It is not a rule, regulation, or statement of the Securities and Exchange Commission (SEC). The Commission has neither approved nor disapproved its content. This statement, like all staff guidance, has no legal force or effect: it does not alter or amend applicable law, and it creates no new or additional obligations for any person. CONTENTS. Message from the Leadership 1.
2021 EXAMINATION PRIORITIES | 1 MESSAGE FROM THE LEADERSHIP TEAM This year marks the 25th anniversary of the creation of the U.S. Securities and Exchange . Commission (SEC) Office of Compliance Inspections and Examinations (OCIE). During . that time, we have grown in size and share of the SEC’s workforce to become the second
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