The MSRB issued a Request for Information asking whether its rules may result in "undue regulatory, compliance, operational or administrative burdens or other negative unintended impacts on smaller regulated entities."
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SEC Director Peter Driscoll described the regulatory and operational challenges of delivering financial services during the pandemic, the issuance of alerts on pandemic and emergent risks (including on cybersecurity), and the roll out of Regulation Best Interest.
The SEC Division of Examinations' 2021 priorities include an enhanced focus on climate and environmental, social and governance-related risks, conflicts of interest for brokers and investment advisers, and FinTech-related risks.
The MSRB outlined significant regulatory and strategic initiatives undertaken in 2019.
The SEC Office of Compliance Inspections and Examinations highlighted exam priorities for 2020.