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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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
In its Annual Report, the SEC Investor Advocate identified several areas of concern for investors, including: (i) reverse factoring; (ii) dual-class share structures and (iii) LIBOR transition issues.
The SEC Office of the Investor Advocate identified "problematic products and practices" and summarized steps the agency and related self-regulatory organizations took to respond to investor concerns during the past year.