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US SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities


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"The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today announced its 2019 examination priorities. OCIE publishes its exam priorities annually to promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or the integrity of the U.S. capital markets. This year, particular emphasis will be on digital assets, cybersecurity, and matters of importance to retail investors, including fees, expenses, and conflicts of interest".   

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"Interesting that the individual and bold highlighted descriptions of the six categories that they are reviewing, left out digital assets. Kind of peculiar that they didn't want to add any further description of their focus." 

It may simply be an error by accidentally skipping the fourth bulleted item and not catching it.

It is discussed on page 11 of the 12 page 2019 Exam Priorities report.  Granted it doesn't provide the long-sought bone of... We'll finally look at XRP and render a verdict of security or not a security.  It would be nice if they could focus like that.  Hopefully, my uploaded image appears below...

Page 11.PNG

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