John Nester Compliance Quotations

The SEC has taken steps to continually enhance its examination oversight. Most importantly, the SEC is seeking to utilize its valuable, limited resources in the most effective manner by focusing on the activities and firms that pose the greatest risks of compliance failures that could harm investors. While the SEC can't examine every firm, we're seeking to maximize the efficiencies and benefits of our examination oversight.

The SEC has taken steps to continually enhance its examination oversight, ... Most importantly, the SEC is seeking to utilize its valuable, limited resources in the most effective manner by focusing on the activities and firms that pose the greatest risks of compliance failures that could harm investors. While the SEC can't examine every firm, we're seeking to maximize the efficiencies and benefits of our examination oversight.