Five key SEC priorities in 2024

Five key SEC priorities in 2024 | EY - US

Below we explore five areas of SEC activity in 2024 that may be of interest to investors, board members and issuers: disclosure rulemaking, shareholder ...

2024 Examination Priorities Report - SEC.gov

... (5) microcap securities. ... New MSRB Rule G-46, which becomes effective on March 1,. 2024, is designed to establish the core standards of conduct.

SEC Division of Examinations 2025 Priorities | Insights

1. Investment Advisers · 2. Investment Companies · 3. Broker-Dealers · 4. Self-Regulatory Organizations (SROs) · 5. Clearing Agencies · 6. Other ...

Summary of the SEC's examination priorities for 2024 - COMPLY

adequate systems' capacity, integrity, resiliency, availability and security;; policies and procedures reasonably designed to ensure the ...

US SEC Division of Exams Announces 2025 Examination Priorities

As in 2024, the Division's top examination priority in 2025 for broker-dealers will be Regulation Best Interest, which governs recommendations ...

SEC Division of Examinations Announces 2024 Priorities

This year's examinations will prioritize areas that pose emerging risks to investors or the markets in addition to core and perennial risk areas.

2024 SEC Division of Examinations Priorities Summary - Venable LLP

Not surprisingly, the 2024 Priorities emphasize that conflicts of interest will remain a priority for the Division's examiners. For investment ...

SEC Division of Examinations Announces 2025 Exam Priorities

Priorities Include Artificial Intelligence and Other Emerging Technologies, Complex Products, Reg BI, Cybersecurity, Outsourcing, ...

The SEC Speaks – Key Enforcement Priorities for 2024

The Division's other priorities include an emphasis on appropriate and deterrent civil penalties, which appears to mean increased penalties, ...

The SEC Announces its 2025 Exam Priorities - O'Melveny

On October 21, 2024, the Securities and Exchange Commission's Division of Examinations published its 2025 examination priorities.

2025 SEC Division of Examinations Priorities | 10 | 2024 | Publications

Those include building out a group to focus on national securities exchanges, adding a national risk strategist to assess and examine planning ...

SEC reveals examination priorities for 2024 - Grant Thornton

Division of Examinations provides key areas of focus for the upcoming year · Investment advisors · Investment companies · Broker-dealers · Self- ...

SEC's 2024 Exam Priorities: 6 Key Takeaways - Quest CE

1. Examination of Investment Advisers · 2. Investment Companies · 3. Broker-Dealers · 4. Municipal Advisors · 5. Crypto Assets and Emerging ...

SEC Will Prioritize AI, Cybersecurity, and Crypto in its 2025 ...

SEC Will Prioritize AI, Cybersecurity, and Crypto in its 2025 Examination Priorities ... On October 21, 2024, the US Securities and Exchange ...

SEC Outlines 2024 Examination Priorities

The Division will continue to prioritize investment advisers' compliance with their fiduciary duties, and the 2024 priorities specifically note ...

SEC EXAMS Division - 2024 Priorities Announced - Goodwin

Perhaps notable for its absence, the SEC EXAMS priorities do not focus on ESG, a key focus of the 2023 priorities. Cybersecurity is mentioned in ...

SEC Speaks 2024—Five Key Takeaways | Perkins Coie

These priorities include the SEC's heightened regulation and enforcement efforts in the crypto space, the pursuit of penalties related to ...

SEC Announces 2024 Examination Priorities | Advisories

For 2024, this focus will include, among other things: (1) information security and operational resiliency; (2) cryptocurrency assets and ...

SEC Division of Examinations Publishes 2025 Priorities

1, 2024–Sept. 30, 2025). First published in 2013, the SEC's annual examination priorities inform industry participants about key areas the ...

The SEC Publishes 2024 Examination Priorities Ahead of Schedule ...

The Report also highlights three key risk areas applicable to market participants: (1) Information Security and Operational Resiliency, (2) ...