SEC Division of Examinations Announces 2025 Priorities

11.01.24

On October 21, 2024, the Securities and Exchange Commission's ("SEC") Division of Examinations ("Division") released its 2025 Examination Priorities.  Below is a summary of the priorities the SEC highlighted. Investment Adviser Examination Priorities Broker-Dealers The Division will prioritize reviews of broker-dealer practices related to Regulation Best Interest, the content of customer relationship summaries and compliance... Continue Reading

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