The Securities and Exchange Commission (SEC) recently announced the withdrawal of several Biden-era regulations, including a proposed rule that would have required a broad range of platforms and financial intermediaries (such...more
7/21/2025
/ Biden Administration ,
Broker-Dealer ,
Compliance ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Regulatory Reform ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Trump Administration
The SEC has released its Examination Priorities: Fiscal Year 2025 (“Examination Priorities”), which may be a useful roadmap to SEC-registered investment advisers, exchanges, and other entities subject to routine examination...more
10/29/2024
/ Artificial Intelligence ,
Compliance ,
Cybersecurity ,
Emerging Technologies ,
Enforcement Priorities ,
Examination Priorities ,
Investment Firms ,
Investors ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Trading Platforms