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In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.

Commentary by Steven Lofchie

A registered representative reached a settlement with the SEC regarding his failure to report red flags to his firm's AML group in connection with a wire transfer from a customer's account to the account of a relative of that customer.

A broker-dealer settled SEC charges for failing to file Suspicious Activity Reports on "suspicious transactions that were executed on its Alternative Trading System."