On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its annual Examination Priorities for 2025 (the “Exam Priorities ...
So, you’re diving into the investment world, and now you’re at the classic crossroads: Series 65 vs. Series 66. It’s like deciding whether you want to be the head coach (Series 65) or the player coach ...
The PCAOB issued a reminder to auditors of brokers and dealers Wednesday that the board’s new audit standards differ in certain respects from previous generally accepted auditing standards that ...
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