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Cozen O'Connor

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

Lowenstein Sandler LLP

SEC’s 2024 Examination Priorities for Broker-Dealers

Lowenstein Sandler LLP on

On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Examination Priorities for fiscal year 2024 (the (“Report”), marking the first time the...more

Vinson & Elkins LLP

Algorithmic Allegiances: Proposed SEC Rule to Regulate Conflicts of Interest in Technology

Vinson & Elkins LLP on

In a move to address the implications of integrating emerging technologies into the financial markets, the U.S. Securities and Exchange Commission (the “SEC”) recently proposed new rules aimed at regulating potential...more

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