{"id":1333,"date":"2023-02-09T16:58:28","date_gmt":"2023-02-09T16:58:28","guid":{"rendered":"http:\/\/localhost\/?p=1333"},"modified":"2024-08-28T03:33:46","modified_gmt":"2024-08-28T03:33:46","slug":"secs-division-of-examinations-2023-priorities","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2023\/02\/09\/secs-division-of-examinations-2023-priorities\/","title":{"rendered":"SEC&#8217;s Division of Examinations 2023 Priorities"},"content":{"rendered":"<p>The SEC&#8217;s Division of Examinations recently released its\u00a0<a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/2023-exam-priorities.pdf\">Examinations Priorities 2023<\/a>\u00a0report.\u00a0 In fiscal year 2022, they examined approximately 15% of the registered investment adviser population, and over 360 broker-dealers examinations, and, together with FINRA, they examined nearly half of the approximately 3,500 registered broker-dealers in fiscal year 2022.\u00a0 They continue to focus on their\u00a0\u201cfour pillars\u201d:\u00a0 (1) promote compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy.<\/p>\n<p>ACA&#8217;s take on the priorities can be found <a href=\"https:\/\/www.acaglobal.com\/insights\/secs-2023-exam-priorities\">here<\/a>.<\/p>\n<p>&nbsp;<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>The SEC&#8217;s Division of Examinations recently released its\u00a0Examinations Priorities 2023\u00a0report.\u00a0 In fiscal year 2022, they examined approximately 15% of the registered investment adviser population, and over 360 broker-dealers examinations, and, together with FINRA, they examined nearly half of the approximately 3,500 registered broker-dealers in fiscal year 2022.\u00a0 They continue to focus on their\u00a0\u201cfour pillars\u201d:\u00a0 (1) &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2023\/02\/09\/secs-division-of-examinations-2023-priorities\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC&#8217;s Division of Examinations 2023 Priorities<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1333","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1333","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1333"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1333\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1333"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1333"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1333"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}