Douglas W. Hathaway
Greenberg Traurig LLP
Articles
2023 Report on FINRA’s Examination and Risk Monitoring Program
USA - February 7 2023 On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”)…
SEC Announces 2022 Examination Priorities
USA - May 5 2022 On March 30, 2022, the Securities and Exchange Commission (SEC) Division of Examinations (Division) announced its examination priorities (the Exam…
2022 report on FINRA’s examination and risk monitoring program
USA - February 24 2022 On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program…
SEC issues risk alert regarding Registered Investment Companies
USA - November 3 2021 On Oct. 26, 2021, the Securities and Exchange Commission (SEC) Division of Examinations ("Division") issued a Risk Alert ("Risk Alert") in which it…
2021 Report on FINRA’s Examination and Risk Monitoring Program
USA - February 1 2021 On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA's Examination and Risk Monitoring Program (Report), in…
