In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
A broker-dealer settled SEC charges for reporting incomplete and inaccurate securities trading information on required electronic blue sheet submissions.
The SEC set a deadline of August 15, 2023 for comments to be submitted on proposed amendments to a prior FINRA proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location." The comment deadline was published in the Federal Register.
The SEC set a comment deadline of May 30, 2023 for an MSRB rule proposal to (i) extend remote office inspection relief until June 30, 2024 and (ii) remove references to expired pandemic-related relief for brokers-dealers and municipal securities dealers.The proposal was published in the Federal Register.
The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.