Form CRS – Global Relay Intelligence & Practice

Form CRS

SEC

SEC announces 2024 exam priorities

October 26, 2023

Guidance on where to focus when preparing for the 2024 SEC exams.

Valerie Ruppel | Bovill, Ryan Stibich | Bovill Newgate6 min read
Enforcement

SEC releases 2024 exam priorities early with focus on emerging risks

October 17, 2023

Regulator aims to provide earlier insight by aligning publication with the start of its fiscal year.

Julie DiMauro3 min read
Conferences and events

FINRA Annual 2023: Enforcement trends and new perspectives

May 19, 2023

A wide-ranging conversation covered the latest trends in enforcement cases brought or being pursued by the SEC and FINRA.

Alex Viall6 min read