The SEC's 2026 examination priorities emphasize existing regulatory expectations extended to technologies that didn't exist ...

Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll ...

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 ...

The Securities and Exchange Commission's two top examination priorities over the next fiscal year will be ensuring advisors and broker-dealers put their clients’ interests first and eliminate or fully ...

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 ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The United States Securities and Exchange Commission released its 2024 examination priorities report on Oct. 16. The agency’s Division of Examinations has been publishing similar reports for over a ...

What a difference a year makes. Last October, when the Securities and Exchange Commission issued its examination priorities for 2025, it cautioned investment advisors and other registrants that it ...

The SEC's Division of Examinations has released its Fiscal Year 2026 Examination Priorities, a comprehensive document ...