Regulatory Updates from Cari Hopsfenperger at Foreside.
- SEC Announces Annual Examination Priorities for 2022
- Prepare for Your Next SEC Exam: Top Tips on Meeting to Meet Your Obligations under Regulation BI and the Fiduciary Standard
- FINRA Regulatory Notice 22-10 Addresses CCO Liability and Supervision
- Utah Becomes the Fourth State to Adopt Comprehensive Privacy Law
Plus Takeaways, Lessons Learned, Worth Reading, Watching and Hearing, and To-Do Checklists for the Month of May