Ray Lombardi

Ray Lombardi

Snell & Wilmer

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SEC Division of Examinations Priorities for 2023

On February 7, 2023, the Division of Examinations (the Division) of the U.S. Securities and Exchange Commission (the SEC) issued its annual examination priorities.1 Consistent with its 2022 examination priorities and the...more

2/28/2023  /  Compliance , Cryptoassets , Environmental Social & Governance (ESG) , Investment Adviser , Investment Advisers Act of 1940 , Investment Company Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)
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