The SEC’s Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities) at the beginning of the fiscal year for the first time. This novel approach likely signifies...more
10/25/2023
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Investment Adviser ,
Market Participants ,
Municipal Advisers ,
Regulation Best Interest ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Transfer Agents