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Security and Exchange Commission Enforcement Priorities

Highlight of the top SEC enforcement actions and regulation changes incl Texas Republican Attorney Generals Ask Court to Set Aside SEC Proxy Voting Disclosure Rules, 25 States File Lawsuit to Block DOL’s ESG Rule, EC Issues Frequently Asked Questions Registration Mounicipal Advisors ....

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SEC 2023 Examination Priorities

SEC announced its 2023 examination priorities. The announcement focuses on 6 categories including new investment adviser and investment company rules, RIAs to private funds, retail investors and working families, ESG, Information Security, emerging technology and crypto assets. ....

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SEC Division of Examinations 2023 Examination Priorities

SEC’s Division of Examinations last week announced its 2023 examination priorities. The division’s annual announcement of priorities provides valuable insight into categories of registrants most likely to be subject of SEC examination and issues most likely to be focus of examinations. ....

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SEC Division of Examinations Announces 2023 Examination Priorities | Bradley Arant Boult Cummings LLP

The SEC’s Division of Examinations last week announced its 2023 “examination priorities.” The division’s annual announcement of priorities provides valuable insight into the categories. ....

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SEC 2023 Priorities for Division of Examinations

US Securities and Exchange Commission SEC Division of Examinations recently released its 2023 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance, prevent fraud, monitor risk, and inform policy. ....

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