SEC Knows Best: Exam Highlights Deficiencies in Broker-Dealer Reg BI Compliance | Holland & Knight LLP
The SEC's Division of Examinations (Exam) published a Risk Alert on Jan. 30, 2023, summarizing alleged deficiencies its staff observed since Exam started conducting broker-dealer...
Gary Gensler Division Of Examinations Exam Division Of Enforcement Exchange Act Release No Exchange Act Rule Risk Alert
Source: jdsupra.com