The Securities and Exchange Commission's Division of Examinations (EXAMS) published its report on 2023 Examination Priorities on February 7, 2023. The 2023 Examination Priorities continue to reflect an examination program that is vigorous and broad in its focus, with special attention paid to newly implemented regulatory changes and the standards of conduct for investment advisers and broker-dealers…
Source: SEC Division of Examinations Releases 2023 Priorities