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SEC Examination Priorities Securities Regulation Cryptocurrency

Troutman Pepper Locke

SEC Reportedly Announces Major Reorganization of Enforcement and Exams Divisions

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The U.S. Securities and Exchange Commission (SEC) has reportedly announced internally a major reorganization of its enforcement and exams divisions. This restructuring, effective April 9, 2025, was detailed in a staff memo...more

Stinson LLP

Key Takeaways from the SEC's 2025 Exam Priorities

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On October 21, 2024, the Division of Examinations (Division) of the Securities and Exchange Commission (SEC) published its 2025 examination priorities (2025 priorities). The release of the 2025 priorities is intended to...more

Alston & Bird

SEC’s 2025 Examination Priorities: Continued Focus on Private Funds and Cybersecurity

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Our Investment Funds and White Collar, Government & Internal Investigations Groups discuss what investment fund advisers and broker-dealers should know about the Securities and Exchange Commission’s Division of Examinations’...more

Troutman Pepper Locke

The SEC’s Division of Examinations Announces 2025 Priorities

Troutman Pepper Locke on

On October 21, the Securities and Exchange Commission’s (SEC) Division of Examinations announced its 2025 examination priorities (2025 guidance) for registered investment advisers and investment companies, broker-dealers,...more

Polsinelli

Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: October 31, 2024

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It’s fitting that our second October Web3 legal update arrives on Halloween, as many in the industry might find the current legal landscape for digital asset products and services quite spooky. While the past few weeks have...more

White & Case LLP

SEC Lists Crypto and Information Security Among its 2024 Examination Priorities

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On October 16, 2023, the US Securities and Exchange Commission ("SEC") Division of Examinations ("Examination Division") announced its 2024 Examination Priorities. Registrants should ensure that policies, procedures, and...more

Faegre Drinker Biddle & Reath LLP

FINRA Is Conducting a Targeted Exam of “Crypto Assets”

Riding the coattails of recent news, FINRA announced on November 14th that it is conducting a targeted exam of firm practices regarding retail communications concerning “Crypto Asset” products and services....more

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