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What to Expect from the SEC s Examination Focus in 2024 | Procopio, Cory, Hargreaves & Savitch LLP

Investment advisers, broker-dealers, fund managers and other financial professionals could be impacted in 2024 by the U.S. Securities and Exchange Commission’s (SEC) continued focus on.

Fund advisorsExchange commissionHargreaves savitchExchange act ruleAdvisers actRegulation best interestNet capital ruleCustomer protection ruleBest interestConsumer protection rule

SEC Division of Examinations Releases 2024 Priorities

EXAMS tends to carry forward major themes from year-to-year, and due to the shorter amount of time between the publication of the 2023 Examination…

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SEC Division Of Examinations 2024 Priorities - Securities

The Securities and Exchange Commission (SEC)'s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years.

Office of foreign assetsExchange commissionExaminations divisionInvestment companiesFinancial technologyExam prioritiesRegulatory organizationsMunicipal advisorsSecurity based swap dealersTransfer agentsEmerging financialSystems complianceAdvisers actRegulation best interestNet capital ruleCustomer protection rule

SEC Division of Examinations 2024 Priorities

The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in…

Exchange commissionOffice of foreign assetsInvestment companiesDivision of examinationsFinancial technologyExam prioritiesRegulatory organizationsMunicipal advisorsSecurity based swap dealersTransfer agentsEmerging financialSystems complianceAdvisers actRegulation best interestNet capital ruleCustomer protection rule

Securities and Exchange Commission 2024 Priorities

Securities and Exchange Commission 2024 Priorities
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Division of examinationsInvestment companiesExchange commissionFinancial technologyOffice of foreign assetsExam prioritiesRegulatory organizationsMunicipal advisorsSecurity based swap dealersTransfer agentsEmerging financialSystems complianceAdvisers actRegulation best interestNet capital ruleCustomer protection rule

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