SEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List
Data Matters
APRIL 6, 2022
On March 30, 2022, the U.S. The Division’s focus on products and services also will include whether broker-dealers recommending the sale of over-the-counter securities are complying with Regulation BI and Exchange Act Rule 15c2-11. 1 “2022 Examination Priorities,” available here. Broker-Dealer Operations.
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