Month: October 2023

SEC 2024 Broker-Dealer Examination Priorities

SEC 2024 Examination Priorities for Investment Advisors

The SEC‘s Division of Examinations prioritizes examinations of certain practices, products, and services that it believes present potentially heightened risks to investors or the integrity of the U.S. capital markets. They have announced the 2024 examination priorities. Here is a summary of the INvestment Advisor priorities. Advisors are urged to […]