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
12 News Results
Comments on proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission are due by March 31, 2023.
The SEC proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission.
The U.S. House of Representatives passed a bill that would direct the CFTC and SEC to jointly create a digital assets working group.
The Treasury Department Office of Financial Research, SEC staff and Federal Reserve Board staff updated the Financial Stability Oversight Council on pandemic and climate-related risks to the financial system.