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SEC Announces 2024 Exam Priorities - Financial Services

On October 16, 2023, the Division of Examinations of the U.S. Securities and Exchange Commission (the "Division" and the "SEC," respectively) announced its examination priorities. ....

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SEC Division of Examinations Priorities for 2023

The Securities and Exchange Commission’s Division of Examinations noted that in fiscal year 2022, the Division examined approximately 15 percent of all registered investment advisers. The Division’s mission is to promote compliance, prevent fraud, monitor risk and inform policy. ....

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