Tag: SEC

SEC Reg BI Examination Priorities

A Summary: SEC’s 2021 Examination Priorities and Reg BI

On March 3, the SEC’s Division of Examinations (DOE) released its eighth annual publication, highlighting the 2021 examination priorities. The report outlined the key risks, trends, and priorities to improve compliance and enhance investor protection. While much of the priorities resembled last year’s report, the 28 pages serve as a healthy reminder for those functioning […]

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The Reg BI Journey What’s Coming in 2021

The Reg BI Journey: What’s Coming in 2021

With more than six months since the Regulation Best Interest (Reg BI) compliance deadline, a heightened sense of anticipation is brewing around what wealth firms should expect in 2021. In retrospect, the Reg BI journey thus far has been riddled with uncertainty around what steps broker-dealers (B-Ds) needed to take to ensure compliance. During this […]

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Chairman U.S. SEC Delivers “Looking ahead and moving forward” Speech

Chairman Mary L. Schapiro U.S. Securities and Exchange Commission SEC Speaks Washington, D.C. February 5, 2010 Thank you for that kind introduction. I would like to ask all of the current SEC staff in the audience to stand so we can recognize your service and thank you for your extraordinary contributions over the past year. […]

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