In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC Division of Investment Management issued guidance on the use of fee waiver and expense reimbursement arrangements that result in differing advisory fees for different share classes of the same fund.
Comments on an SEC proposal to establish minimum standards for outsourcing investment advisory services and related form amendments are due by December 27, 2022.