On June 5, 2024, the SEC's Division of Examinations (the Division) released a risk alert regarding the examination of broker-dealers. The alert acknowledges the diversity of the broker-dealer population in the marketplace...more
7/5/2024
/ Anti-Money Laundering ,
Books & Records ,
Broker-Dealer ,
Cryptocurrency ,
Disclosure Requirements ,
Investment Adviser ,
Marketing ,
Net Capital Rule ,
Popular ,
Registration Requirement ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On October 7, 2020, the Securities and Exchange Commission (SEC) voted to provide much needed clarity to the regulatory status of so-called “finder” who assist small businesses in raising capital. In a 3-to-2 vote, the SEC...more
The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently announced their 2015 exam priorities for their respective examination programs. Both the SEC and FINRA have...more