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News & Events – Compliance and Regulatory Alerts

FINRA Publishes 2024 Regulatory Oversight Report

01-10-24

FINRA Publishes 2024 Regulatory Oversight Report

FINRA has published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. Stay tuned for our annual chart and commentary on the reformatted 2024 Report and how its findings may impact your legal, regulatory and compliance matters.

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SEC Division of Examinations Announces 2024 Examination Priorities

10-16-23

SEC Division of Examinations Announces 2024 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations has just released its 2024 examination priorities report. Stay tuned for our annual commentary and chart, coming soon, on the SEC's 2024 priorities and how they may impact your legal, regulatory and compliance matters.

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SEC Exams Division Issues Risk Alert for Newly Registered Advisers on Compliance Deficiencies and Guidance to Address

04-06-23

SEC Exams Division Issues Risk Alert for Newly Registered Advisers on Compliance Deficiencies and Guidance to Address

On March 27, 2023, the SEC Division of Examinations issued a Risk Alert focused on compliance deficiencies found in examinations of newly registered advisers. The Division said these advisers may face unique risks, particularly as to conflicts of interest, and cautioned them to review their policies and procedures, disclosures, and marketing practices. The Division also explained—perhaps as guidance for these new registrants—that their examinations were “an opportunity for early engagement between advisers and the staff.” Bates has a brief summary of this new Alert and what it could mean for your firm and clients.

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FINRA Arbitration Update - February 2023

03-02-23

FINRA Arbitration Update - February 2023

FINRA proposed amendments to the Codes of Arbitration Procedures for Customer Disputes and Industry Disputes that would affect the arbitrator list selection process. The proposed amendments would also make clarifying changes on administrative practices. 

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SEC Division of Examinations Announces 2023 Examination Priorities

02-07-23

SEC Division of Examinations Announces 2023 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations has just released its 2023 examination priorities report, providing insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. Stay tuned for our annual commentary and chart, coming soon, on the SEC's 2023 priorities and how they may impact your legal, regulatory and compliance matters.

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FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

01-10-23

FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

FINRA has announced the publication of the 2023 Report on FINRA's Examination and Risk Monitoring Program. The comprehensive report from FINRA’s regulatory operations covers 24 topics relevant to the evolving securities industry. Additionally, the report introduces a new Financial Crimes section highlighting FINRA’s increased focus on protecting investors and safeguarding market integrity against these ongoing threats. Stay tuned for our annual commentary, coming soon, on FINRA’s 2023 objectives and how they may impact your legal, regulatory and compliance matters.

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