ARTICLE · 13 JULY 2023

SEC Releases Examination Priorities For 2023

Tannenbaum Helpern Syracuse & Hirschtritt LLP

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On February 7, 2023, the Securities and Exchange Commission's (the "SEC") Division of Examinations (the "Division") published its examination priorities for the upcoming year.

United StatesFinance and Banking

Michele Gibbs Itri

Michael G. Tannenbaum

On February 7, 2023, the Securities and Exchange Commission's (the "SEC") Division of Examinations (the "Division") published its examination priorities for the upcoming year. The published priorities reflect the Division's focus on certain practices, products and services it believes pose unique or emerging risks to investors and the U.S. capital markets, as well as areas which, in the Division's view, present core and perennial risks. Here, we summarize the Division's identified areas of focus with respect to its in its examinations of registered investment advisers ("RIAs"). The complete description of the Division's 2023 priorities can be found here.

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