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complianceThe Securities and Exchange Commission’s Division of Examinations (DOE) (formerly, Office of Compliance Inspections and Examinations) recently announced its examination priorities for 2021. Examination priorities are released annually. The 2021 priorities highlight the following nine non-exhaustive areas on which DOE intends to focus during the year.

(1) Retail investors, including seniors and individuals saving for retirement

(2) Information security and operational resiliency

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