On Jan. 30, 2023, the Securities and Exchange Commission’s Division of Examinations (Division) released a Risk Alert, “Observations from Broker-Dealer Examinations Related to Regulation Best Interest,” in which the Division...more
In February 2022, the Financial Industry Regulatory Authority (FINRA) released the 2022 Report on FINRA’s Examinations and Risk Monitoring Program. This annual document aims to provide guidance to the broker-dealer industry....more
On Oct. 13, 2021, senior officials from the U.S. Securities and Exchange Commission’s Division of Enforcement* convened for a panel discussion at the annual SEC Speaks conference, held virtually for the second consecutive...more