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
13 News Results
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 MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.
The MSRB provided additional guidance for regulated entities concerning COVID-19-related regulatory relief.
FINRA released podcasts that highlight operational risks and market integrity issues outlined in FINRA's 2017 Regulatory and Examination Priorities Letter.