The five key areas that the Division will be examining in 2024 are:
You can find the full report here.
May Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think—causing you to say, “Oh, I see” (which is different from the SEC’s OCIE).
In the latest edition of NCSP Currents, we explore the connection of puns and other plays on words with SEC and FINRA enforcement actions and initiatives.
Contributors:
