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...
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Today marks the 40th anniversary of the founding of Tellefsen and Company. Gerald (Jerry) Tellefsen started the firm in April of 1984...
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Latham and Watkins has posted an excellent summary of the SEC's recently updated Statutory Definitions of Dealer and Government...
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