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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SEC staff summarized the activities of the Fixed Income Market Structure Advisory Committee over the past year.
The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.
The MSRB proposed several rule changes to align its rules with the SEC's Regulation Best Interest.
In its Annual Report, the SEC Investor Advocate identified several areas of concern for investors, including: (i) reverse factoring; (ii) dual-class share structures and (iii) LIBOR transition issues.