In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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An SEC final rulemaking intended to simplify and update the regulatory framework for "fund of funds" arrangements was published in the Federal Register.
The SEC adopted a new rule and related amendments in order to simplify and update the framework for fund of funds arrangements.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
In its 2019 Annual Report, the SEC Division of Enforcement highlighted efforts to protect retail investors and combat cyber threats.