SEC Sanctions Firms over Cybersecurity Incident Responses
The SEC brought sanctions against three firms (and related entities) registered as broker-dealers,...
Form CRS Exam Sweep & Enforcement
As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failin...
First Impressions & New Registrant Examinations
SEC staffers have long asserted that their efforts are informed by a risk-based assessment in select...
SEC Form CRS Enforcement Directed Sweep in Full Swing
The SEC is full throttle ahead currently targeting multiple firms for enforcement related to failure...
Staying Current – SEC Updates
We want to take the opportunity to share a few significant items put out by the SEC last month. Enfo...