The SEC's exams division seeks 20 new staffers, with some dedicated to examining “the growing number of registered investment advisers, including those that advise private ...
The DOE also vows at least a modest return to pre-pandemic days. “We also expect to increase our on-site interactions with regulated entities while continuing ...
The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...