On February 7, the Division of Examinations of the Securities and Exchange Commission (the “Division”) published its 2023 Examination Priorities (the “Exam Priorities”).1 The Exam.
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The Broker-Dealer Regulation & Litigation Digest is a periodic compilation of the most read blog posts published on the Broker-Dealer Law Blog during the last few months. Here you can.
Division of Examinations of the SEC published list of examination priorities for 2023. Private fund sponsors remain a focus. For first time SEC included list of fund types it plans to focus on, including digital asset and commercial real estate funds and continuation funds.