The Law of the Financial Markets from Top Securities Lawyers
Monday, September 16, 2024
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 Broker-Dealer priorities for 2024. We summarized the […]
March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus and many perennial risk areas. “The Division’s 2022 examination priorities identify key risk areas that we expect registrants to address, manage, and mitigate with vigilance,” said SEC Chair Gary Gensler. “Investment advisers, […]
