The SEC’s Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023.
The 2024 Examination Priorities continue to reflect an examination program that is vigorous and broad...more
12/18/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Compensation ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
REIT ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission in 2019 issued significant new rules and interpretations addressing the standards of conduct for broker-dealers, in the form of Regulation Best Interest, and the standards of conduct for...more
10/3/2022
/ Best Interest Standard ,
Broker-Dealer ,
Compensation ,
Conflicts of Interest ,
Disclosure Requirements ,
Duty of Care ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct
The Securities and Exchange Commission (“SEC”) recently published for comments rules proposed by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”) to regulate...more
1/23/2016
/ Broker-Dealer ,
Compensation ,
Disgorgement ,
Financial Industry Regulatory Authority (FINRA) ,
Government Entities ,
Look-Back Measurement Period ,
MSRB ,
Municipal Advisers ,
Pay-To-Play ,
Political Contributions ,
Popular ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)