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SEC Division of Examinations Announces 2021 Examination Priorities

  • Written by Newsfile

Washington, D.C.--(Newsfile Corp. - March 3, 2021) - The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers...