Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report typically comes out in March—which is early enough for companies and investment ...

TECH TUESDAY is a weekly content series covering all aspects of capital markets technology. TECH TUESDAY is produced in collaboration with Nasdaq. The Securities and Exchange Commission (SEC) recently ...

The Securities and Exchange Commission has released its 2024 examination priorities to inform investors and registrants of the key risks, exam topics and priorities that the division plans to focus on ...

If the SEC comes knocking this year, its inspectors are likely to be looking for lapses related to cryptocurrency, cybersecurity, marketing and hybrid advisory-brokerage firms. Notably absent this ...

Just because ESG wasn't mentioned in the SEC’s examination priorities doesn’t mean that ESG regulation is out of mind for the agency. The Securities and Exchange Commission didn't mention reviewing ...

The SEC's Division of Examinations has released its Fiscal Year 2026 Examination Priorities, a comprehensive document addressing investment advisers, broker-dealers, and numerous other market ...

The Securities and Exchange Commission’s Division of Examinations announced on Tuesday its top exam priorities for 2023. Not surprisingly, the SEC’s historic new marketing rule and Regulation Best ...