On Monday October 21, the SEC’s Division of Examinations issued its 2025 Examination Priorities.  The priorities provide a roadmap…

  Since 2022, the SEC has initiated over 30 enforcement actions, resulting in more than $1.5 billion in penalties to…

  Cybersecurity continues to be one of the most critical operational risks for financial services companies. Like many Legal and…

  Not only have we reached the year 2024, but January is almost over! Like many broker-dealers, you are likely…

On July 31, 2023, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published a Risk Alert sharing…

On April 26, 2023, the U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert to highlight the…

On March 27, 2023, Staff from the SEC’s Division of Examinations published guidance stemming from examinations of newly registered investment…

2023 SEC EXAMINATION PRIORITIES On February 7, 2023, the United States Securities and Exchange Commission’s Division of Examination (“Examination Staff”)…

On October 26, 2022, the United States Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 (“Proposed Rule”).  If adopted, the…

Exposure to material nonpublic information (“MNPI”) remains one of the highest risks for many firms in the financial services industry,…