INTRODUCTION - On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the.
The SEC Division of Examinations released its 2023 examination priorities. Alongside continuing SEC sweep examinations into electronic communication and record keeping, firms should be on alert for compliance with communication policies and demonstrate robust recordkeeping.
On Aug. 29, the California Legislature passed Senate Bill 1162. If signed into law by Gov. Newsom, the bill will impose significant new pay reporting and pay scale disclosure.