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SEC Formally Withdraws Fourteen Rule Proposals
The Securities and Exchange Commission (“SEC”) withdrew 14 proposed rules introduced between October 2020 and November 2023. Only one was...
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Jun 163 min read
Risk Alert Review: Core Areas and Document Requests
By Peter R. Guarino On November 4, 2024, the Division of Examinations (Exams) issued a Risk Alert titled Review of Certain Core Areas and...
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Nov 13, 20242 min read
SEC 2025 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2025 Examination Priorities. The Division publishes...
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Oct 21, 20242 min read
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
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Sep 2, 20242 min read
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