Each year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division) prioritizes the examination of certain practices, products and services that it believes present potentially heightened risks...more
For each of the past nine years, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (previously called the Office of Compliance Inspections and Examinations, or OCIE, and hereinafter referred to as...more