On June 22, 2023, the Investor Advisory Committee (“IAC”) of the US Securities and Exchange Commission (“SEC” or “Commission”) held a panel discussion regarding current challenges and potential improvements to the use of digital engagement practices (“DEPs”) by broker-dealers and investment firms. The discussion was mostly focused on the DEPs used by digital trading platforms
Latest Post
More Posts
FINRA Releases Updated Guidance for Members Conducting Private Placements
US SEC Announces 2023 Exam Priorities
FINRA Publishes 2023 Report on Its Examination and Risk Monitoring Program
US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities
Subscribe: Subscribe via RSS
Firm/Org