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This March, the Securities and Exchange Commission released its
new report on its 2021 Examination Priorities (the Report ).
22 The Report covers a broad
spectrum of issues. This article focuses on areas of interest to
the structured products industry.
RETAIL INVESTORS
The Division of Examination (the Division ) stated in
the Report its continued desire to emphasize the protection of
retail investors, and the Division will prioritize examinations of
financial intermediaries such as registered investment advisers
( RIAs ) and registered investment companies,
broker-dealers and dually-registered or affiliated firms. These