SEC Launches a Dedicated Inspection Team to Oversee FINRA

Marc Wyatt, Director of the Securities and Exchange Commission’s Office of Inspections and Examinations (OCIE), recently announced that the SEC has established “a dedicated FINRA inspection team focused on assessing FINRA’s operations in terms of its core mission of regulating its member broker-dealers, including with respect to its regional examinations of broker-dealers.” In his Keynote[…]