In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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17 News Results
An investment adviser settled SEC charges for breaches of fiduciary duty arising from an affiliated broker's receipt of compensation on advisory client investments.
At the SIFMA annual meeting, SEC Chair Gary Gensler highlighted potential areas for reform across the Treasury, non-Treasury fixed income, equity and security-based swaps markets.
The SEC disapproved a Nasdaq proposed rule change "to amend certain listing requirements relating to maintaining a minimum number of beneficial holders and minimum number of shares outstanding."
The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.