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
Comments on SEC's proposed amendments to "modernize" filing procedures through the use of electronic filings are due by May 22, 2023.
The SEC proposed rule amendments that "modernize" filing procedures through the use of electronic filings. The amendments impact numerous rules and forms.
The SEC reopened the comment periods for proposals to (i) expand the scope of Regulation ATS and (ii) expand regulation of private fund advisers. As outlined in a notice in the Federal Register, comments for both proposals are now due by June 13, 2022.
SEC Commissioner Elad L. Roisman reviewed the existing SEC regulatory frameworks for the handling of retail orders - including payment for order flow, best execution, execution quality measurements and public price discovery - and suggested potential improvements.