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 Office of Investor Education and Advocacy issued an updated investor bulletin on leveraged and inverse exchange-traded funds ("ETFs"), particularly single-stock ETFs.
SEC Commissioner Caroline A. Crenshaw and SEC Director of the Office of Investor Education and Advocacy Lori J. Schock warned investors of the risks associated with single-stock exchange traded funds.
A registered investment fund settled SEC charges for failing to implement its policies and procedures relating to the valuation of securities prices that the company delegated to its investment adviser.
The U.S. House Financial Services Committee passed the "Financial Exploitation Prevention Act of 2021," a bill which would allow an investment company to postpone the redemption of securities when it suspects possible financial exploitation of a specified adult.