The SEC’s Division of Examinations (the “Division” or “EXAMS”) recently published its annual examination priorities for 2023. The Examination Priorities memorandum sets out key areas the staff will focus on during its...more
Over a two week period at the end of January and beginning of February, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) proposed new rules and rule amendments that presage sweeping regulatory and...more
The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities transactions or investment strategies. ...more