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On Monday, October 16, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) “released its 2024 examination priorities to inform investors and...
Highlight of the top SEC enforcement actions and regulation changes incl Texas Republican Attorney Generals Ask Court to Set Aside SEC Proxy Voting Disclosure Rules, 25 States File Lawsuit to Block DOL’s ESG Rule, EC Issues Frequently Asked Questions Registration Mounicipal Advisors
On February 7, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for 2023.1 According to this statement, the Division's mission...
In this issue, we cover regulatory developments impacting the investment management sector, including updates on closed-end fund activism and various new and revised SEC rules.
The Securities and Exchange Commission’s Division of Examinations noted that in fiscal year 2022, the Division examined approximately 15 percent of all registered investment advisers. The Division’s mission is to promote compliance, prevent fraud, monitor risk and inform policy.