Brooke Labonski

Brooke Labonski

Troutman Pepper Locke

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FUNDamentals: 2025 SEC Examination ‎Priorities

On October 21, 2024, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) released its examination priorities for 2025 (the “2025 SEC Examination Priorities”). The Division will...more

11/27/2024  /  Broker-Dealer , Investment Adviser , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Self-Regulatory Organizations
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