Division of Examinations published its 2025 Examination Priorities, outlining the main areas of interest for the Division in its examinations of regulated entities during the upcoming year.

The CFP exam is a computerized six-hour, 170-question beast of an exam designed to test your ability to apply a range of ...

In FY 2025, the Securities and Exchange Commission's Examination Division will be closely monitoring for compliance with MSRB Rule G-42 on the core standards of municipal advisors, in addition to ...

The United States Securities and Exchange Commission (SEC) has again included cryptocurrencies in its list of examination ...

Discover a list of potential questions and answers commonly asked in job interviews for a candidate applying for a position ...

The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.

SEC Chair Gary Gensler reaffirms the regulator's role in protecting investors amid perennial and emerging industry risks.

In addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.

The U.S. Securities and Exchange Commission's Division of Examinations has released its priorities for the 2025 fiscal year. Here's what hedge fund managers should be focusing on: The SEC continues to ...