Check out the SEC's exam priorities for 2025 in the attached summary. It covers investment firms, investment banks, securities broker-dealers, SROs, and other market participants and addresses areas of cybersecurity, digital assets and other emerging financial technologies. Please feel free to reach out to us for a confidential consultation:
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See AllIn light of the recent global CrowdStrike outage, regulators are reminding the industry of their cybersecurity risk management compliance...
Today marks the 40th anniversary of the founding of Tellefsen and Company. Gerald (Jerry) Tellefsen started the firm in April of 1984...
Latham and Watkins has posted an excellent summary of the SEC's recently updated Statutory Definitions of Dealer and Government...
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