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On January 9, 2024, the Financial Industry Regulatory Authority, Inc. ("FINRA") published the 2024 FINRA Annual Regulatory Oversight Report (the "Report")...
On March 15, 2023 the U.S. Securities and Exchange Commission ("SEC") released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information...
On March 30, 2022, the SEC's Division of Examinations (the "Division") released its 2022 examination priorities (the "Priorities").