SEC Releases Its Strategic Plan for Fiscal Years 2014-2018

January 31, 2014

The SEC issued its “Strategic Plan” for fiscal years 2014-2018.  The plan sets forth the SEC’s mission, vision, values and strategic goals for that time period.

With respect to investment advisers, the plan stated that the SEC will analyze regulatory structures for investment advisers and broker-dealers providing personalized investment advice. It will continue to analyze whether the different regulatory obligations that apply to broker-dealers and investment advisers providing personalized investment advice should be changed for the protection of investors.

The SEC also noted in the plan that one of its performance goals was to increase the percentage of investment advisers examined during a given year.

Click here to access the strategic plan.


Investment Advisers, Investment Companies