Friday, February 10. 2023

SEC’s Division of Examinations Releases 2023 Priorities

On February 7th, SEC’s Division of Examinations issued its 2023 examination priorities, the publication that  details the Division’s risk-based approach, including the areas it believes may present possible risks to the integrity of the US capital markets and investors. When compiling the examination priorities, the Division is guided by its objectives to promote and improve compliance, prevent fraud, monitor risks, and inform policy. Continue reading "SEC’s Division of Examinations Releases 2023..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 13:29

SEC’s Division of Investment Management and Division of Trading and Markets to Hold Open Meeting

SEC staff in the Division of Investment Management and the Division of Trading and Markets will hold an open meeting via webcast on sec.gov to address the topics of Shortening the Settlement Cycle and Safeguarding Advisory Client Assets. The meeting will take place on Wednesday, February 15, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-02-16} Continue reading "SEC’s Division of Investment Management and..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 08:36
(Page 1 of 1, totaling 2 entries)