SEC IG: 'Enhanced Planning, Performance Measurement & Evaluation, Information Can Improve Oversight of Broker-Dealer Examinations'
October 15, 2024
October 15, 2024
WASHINGTON, Oct. 15 (TNSrep) -- The Securities and Exchange Commission Inspector General issued the following report (No. 583) on Sept. 23, 2024, entitled "Enhanced Planning, Performance Measurement and Evaluation, and Information Can Improve Oversight of Broker-Dealer Examinations."
Here are excerpts:
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M E M O R A N D U M
TO: Keith Cassidy, Acting Director, Division of Examinations
FROM: Rebecca L. Sharek, Deputy I . . .
Here are excerpts:
* * *
M E M O R A N D U M
TO: Keith Cassidy, Acting Director, Division of Examinations
FROM: Rebecca L. Sharek, Deputy I . . .