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 […]
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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 […]
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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 […]
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