{"id":2546,"date":"2017-03-20T00:00:00","date_gmt":"2017-03-20T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/sec-plans-tackle-fraud-protect-retail-investors-unnecessary-risk\/"},"modified":"2018-10-08T12:37:04","modified_gmt":"2018-10-08T16:37:04","slug":"sec-plans-tackle-fraud-protect-retail-investors-unnecessary-risk","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-plans-tackle-fraud-protect-retail-investors-unnecessary-risk\/","title":{"rendered":"How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-3485\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/pic-8.jpg\" alt=\"How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk on silverlaw.com \" width=\"411\" height=\"272\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/pic-8.jpg 923w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/pic-8-300x199.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/pic-8-768x508.jpg 768w\" sizes=\"auto, (max-width: 411px) 100vw, 411px\" \/><\/p>\n<h2 style=\"text-align: justify;\">The agency plans to get tougher on brokers and firms throughout 2017<\/h2>\n<p style=\"text-align: justify;\">The SEC\u2019s Office of Compliance Inspections and Examinations (OCIE) has a new <a href=\"https:\/\/www.sec.gov\/about\/offices\/ocie\/national-examination-program-priorities-2017.pdf\"  target=\"_blank\"><span style=\"text-decoration: underline;\">series of goals<\/span><\/a> for 2017. The agency\u2019s department, which is responsible for examining brokers, firms, and financial products to prevent fraudulent activities, identify risks, and inform government policies, has consulted employees throughout the organization to determine its direction for the new year.<\/p>\n<p style=\"text-align: justify;\">Throughout this process, the SEC has focused on three main points of analysis: researching risks for retail investors, looking at risks for retired and elderly investors, and examining overall market risks.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/sec-plans-tackle-fraud-protect-retail-investors-unnecessary-risk\/\"  title=\"Continue Reading How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The agency plans to get tougher on brokers and firms throughout 2017 The SEC\u2019s Office of Compliance Inspections and Examinations (OCIE) has a new series of goals for 2017. The agency\u2019s department, which is responsible for examining brokers, firms, and financial products to prevent fraudulent activities, identify risks, and inform government policies, has consulted employees [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[595],"tags":[179],"class_list":["post-2546","post","type-post","status-publish","format-standard","hentry","category-investment-fraud","tag-sec-plans"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk &#8212; Securities Arbitration Lawyers Blog &#8212; March 20, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/sec-plans-tackle-fraud-protect-retail-investors-unnecessary-risk\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk &#8212; 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