SEC Division of Examinations Announces 2021 Examination Priorities

This month, the Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities. The examination priorities are published each year, offering insights into those areas that the Division believes could present risks to investors and the U.S. capital markets. The Division will focus on climate-related risks, as well as conflicts of interest for…

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Cybersecurity News Alert – SEC

SEC Cybersecurity News Alert: Today, the Securities and Exchange Commission (SEC) announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1 million for its failures in cybersecurity policies and procedures surrounding a cyber-breach.

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