Update the Office’s policies, procedures, and guides to document (a) the process to review proposed SEC and SRO rules, to include documentation requirements and the timing of such reviews; and (b) the data staff should enter in the Outreach Management System to ensure proper tracking of OASB’s engagement activities.
Questioned Costs
$0
Funds for Better Use
$0
Recommendation Status
Closed
Source UUID
SEC__Audit__2022-08-30__573-2
Recommendation Number
2
Significant Recommendation
Yes