InvestmentNews

SEC’s 2027 exam priorities put RIA conflicts and cyber risks in focus

Examiners will scrutinize fee conflicts, complex products and super intelligence threats as broker-dealers face fresh Reg BI and AML reviews ...
JD Supra

SEC Division Of Examinations Publishes Exam Handbook: What Investment Advisers, Broker-Dealers, And Other Registrants Should Know

The US Securities and Exchange Commission (SEC), through its Division of Examinations (EXAMS), published The SEC Exam Handbook: A Practical Guide ...
JD Supra

A Helpful Reminder for Broker-Dealers Subject to Examination by the SEC

On June 5, 2024, the SEC's Division of Examinations (the Division) released a risk alert regarding the examination of broker-dealers. The alert acknowledges the diversity of the broker-dealer ...
Law360

SEC Risk Alert Outlines Broker-Dealer Exam Process

Law360 (June 5, 2024, 6:43 PM EDT) -- The U.S. Securities and Exchange Commission's Division of Examinations issued a risk alert Wednesday outlining its process for selecting broker-dealer firms to ...
Decrypt

SEC Flags AI 'Super Intelligence' and Tokenization as Systemic Market Risks

The SEC named "super intelligence and other advanced technologies" as a focus area alongside tokenization risks.
Securities.io

SEC Division of Examinations Publishes Fiscal 2027 Priorities

The Securities and Exchange Commission’s Division of Examinations published its Fiscal Year 2027 examination priorities on ...