National Exam Program News Today

Problems. The issues facing our nation this week are monumental to us but a part of the long history of the political and policy debate that have created a great arrative of parties pa tiff participative democracy. Send your spirit of wisdom on the peoples house that the members may work as one to move our nation forward to a brighter future. May all that is done this day be for your greater honor and glory, amen. The speaker the chair has examined the journal of the last adairs proceedings and ...

SEC Chair Gary Gensler kicked off the annual “SEC Speaks” conference Tuesday, providing an in-depth look at the agency’s priorities for the coming year.

Amid ongoing federal government shutdown risks and the close of its fiscal year, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (Exams) recently announced...

October 5, 2023- The Federal Deposit Insurance Corporation Board of Directors approved a Notice of Proposed Rulemaking on Proposed Guidelines Establishing Standards for...

The staff at the Securities and Exchange Commission's Division of Examinations (the "Division") conducts the SEC's National Exam Program. Recently, the Division issued two Risk Alerts...

Summary: The Division of Examinations – New York Regional Office is filling a position for a Attorney-Adviser, SK-0905-14 located in New York, NY. Responsibilities: The Division of Examinations conducts the SEC’s National Exam Program. The Division’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The r...

SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We believe that at the Securities and Exchange Commission (“SEC”), the new administration will ramp up examinations and investigations of investment advisers, and specifically advisers to private funds. The industry has certainly been in growth mode. By the SEC’s own calcula...

The Division of Examinations conducts the SEC’s National Exam Program. The Divisions mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Divisions examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct. Office Resource...