John Schwartz

John Schwartz

BCLP

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SEC Division of Examinations publishes 2025 Examination Priorities

On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its annual Examination Priorities for 2025 (the “Exam Priorities”). Below is a...more

10/30/2024  /  Broker-Dealer , Enforcement Priorities , Investment Adviser , Investment Companies , Market Participants , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Securities Exchange Act
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