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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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.
At its quarterly Board of Directors meeting, the MSRB reviewed initiatives under the strategic plan for improving and protecting the municipal securities market.
The U.S. House of Representatives passed a bill that would direct the CFTC and SEC to jointly create a digital assets working group.