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ARTICLE · 22 NOVEMBER 2023

Financial Markets And Funds Quick Take | Issue 20

Katten
Katten
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Katten

Katten

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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

United StatesFinance and Banking
Adam Bolter
Adam Bolter
Wendy Cohen
Wendy Cohen
Christopher Collins
Christopher Collins
Daniel J. Davis
Daniel J. Davis
Danette R. Edwards
Danette R. Edwards
Carolyn Jackson
Carolyn Jackson
Carl E. Kennedy
Carl E. Kennedy
Nathaniel Lalone
Nathaniel Lalone
Ciara McBrien
Ciara McBrien
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.

SEC Division of Examinations Publishes 2024 Priorities: Spotlight on Investment Advisers and Broker-Dealers

By Adam Bolter

On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2024, noting there will be a greater presence of examiners in the field. The Division also issued a Risk Alert regarding how the Division employs its risk-based examination approach, including how it selects registrants to examine and how it makes scoping decisions for those examinations. Notably, the Risk Alert also provides an attachment with the Division's typical initial document request list. Read more about the

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