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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126 News Results
ISDA urged the SEC to exclude all derivative transactions from its proposed rule amendments that would require funds to provide disclosures as to greenhouse gas emissions.
The SEC, the CFTC and the DOJ filed actions against a New York-based family office and certain of its principals for an alleged market manipulation scheme that resulted in billions of dollars in losses.
NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.
FINRA set the compliance dates for rule amendments relating to security-based swaps.