On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more
10/30/2024
/ Asset Management ,
Broker-Dealer ,
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ETFs ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
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SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On June 18, 2024, the Securities and Exchange Commission (“SEC”) announced a $2.1 million civil penalty settlement of charges against R.R. Donnelley & Sons (“RRD”), a global provider of business communications services and...more