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SEC Exam Priorities Put Retail, Disclosure in Crosshairs

February 22, 2018, Compliance Reporter

Keir Gumbs is quoted in a Compliance Reporter article regarding the SEC exam team's focus on retail investor protection. The 2018 priorities are “emphasizing the focus on the word ‘retail,’” says Gumbs. “This year it is notable the amount of space dedicated to those issues in the priorities." The SEC will also likely be investigating with BDs and IAs are properly characterizing virtual currencies as securities or not, and what they are saying to clients about virtual currency, Gumbs adds.

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