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
101 News Results
FDIC Vice Chair Travis Hill expressed concern that "an overreaction is underway" from regulators in response to the bank failures in March 2023.
The SEC directed FINRA and the equity exchanges to submit a new national market system plan to replace the three current national market system plans.
Treasury Assistant Secretary Graham Steele elaborated on lessons learned and regulatory principles that were "reinforced" following the recent bank failures.
The SEC requested comment on a partial amendment that would clarify the CAT NMS Plan proposal to implement a revised funding model for the consolidated audit trail and establish a new fee schedule.