USA - January 17 2023
The U.S. Securities and Exchange Commission (SEC) proposed 35 new rules and adopted 17 rules in 2022 alone. The regulator’s emphasis o…
William B. Mack
USA - October 13 2022
On July 14, 2022, the U.S. House of Representatives passed bipartisan legislation that, if passed by the Senate and signed into law, would expand the…
Kyle R. Freeny, Janiell "Alexa" Gonzalez, Marina Olman-Pal
USA - May 5 2022
On March 30, 2022, the Securities and Exchange Commission (SEC) Division of Examinations (Division) announced its examination priorities (the Exam…
Arthur Don, Douglas W. Hathaway
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…
Arthur Don, Douglas W. Hathaway, William B. Mack
USA - March 26 2021
The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…
Claudio J. Arruda, Arthur Don, Steven M. Felsenstein, Elaine C. Greenberg, Steven M. Malina