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 Financial Industry Regulatory Authority announced, on November 14, 2022, a targeted exam focusing on broker-dealers’ practices for communications with retail investors regarding Crypto Assets (as defined below)....more
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (Federal Banking Agencies) on December 27, 2019 provided temporary relief from...more
2/10/2020
/ Bank Holding Company ,
Banks ,
Board of Directors ,
Compliance ,
Credit Extension ,
FDIC ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Fund Management Companies ,
Insider Information ,
Investment Adviser ,
Investment Funds ,
Loans ,
OCC ,
Portfolio Companies ,
Regulation O ,
Relief Measures ,
Voting Shares
The U.S. Securities and Exchange Commission, on June 5, 2019, voted 3-1 in favor of adopting a package of rules, amendments and interpretations (Final Rules) intended to improve the retail investor experience and to provide...more
6/12/2019
/ Best Interest Standard ,
Broker-Dealer ,
Compliance ,
Compliance Dates ,
Conflicts of Interest ,
Disclosure Requirements ,
Duty of Care ,
Duty of Loyalty ,
Fiduciary Duty ,
Form CRS ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Rules ,
Regulation Best Interest ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct
The U.S. Treasury’s Financial Crimes Enforcement Network (FinCEN) on April 3, 2018 issued Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions (FAQs). The FAQs address various...more
4/13/2018
/ Anti-Money Laundering ,
Beneficial Owner ,
Broker-Dealer ,
Compliance ,
Customer Due Diligence (CDD) ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Joint Ownership ,
Legal Entity Identifiers ,
Mutual Funds ,
Retroactive Application ,
Verification Requirements
The Securities and Exchange Commission (SEC or Commission) on May 1, 2014 announced a settlement (Settlement) with the New York Stock Exchange LLC and certain of its affiliates (collectively, the NYSE), addressing a variety...more
6/6/2014
/ Affiliates ,
Civil Monetary Penalty ,
Compliance ,
Electronic Trading ,
Enforcement ,
Enforcement Actions ,
High Frequency Trading ,
Information Sharing ,
Neither Admit Nor Deny Settlements ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Settlement
commoThe Division of Market Oversight (“Division”) of the U.S. Commodity Futures Trading Commission (“CFTC”) on September 27 and 30, 2013 issued several no-action letters to temporarily registered swap execution facilities...more