Welcome to the Supplemental Hub
You’ve attended the session, but now you want more information…
Thank you for attending “Be in the Know: New SEC Priorities & How to Prepare in 2023” presented by Michelle L. Jacko, CSCP. The discussion shouldn’t stop there. We’ve provided additional materials to help attendees navigate the discussion back with their own organizations.
The Supplemental Hub was designed specifically from the presentation and is catered to help those understand, strategize, and maneuver the SEC’s compliance expectations and hot topics in 2023.
SEC Examination Priorities
SEC Proposed Rules
- Proposed Regulation Best Execution
- Proposed Outsourcing by Investment Advisers
- Proposed Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
- Risk Alert: Observations from Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-ID
- Marketing Compliance Frequently Asked Questions