Other items on OCIE’s watch list are rules barring advisor and fund contributions to government officials with the aim of getting more business (“pay to play”), as well as firms’ adherence to exemptive orders on closed-end funds, managed distribution plans, employee securities companies and exchange-traded funds.
To see the full listing of OCIE exam priorities for the year, go to: http://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2013.pdf