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Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest

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You are subscribed to receive EXAMS Staff Letters and Risk Alerts from the Securities and Exchange Commission. This information has recently been updated, and is now available. Risk Alert: Observations from Broker-Dealer Examinations Related to Regulation Best Interest 01/30/2023 11:55 AM EST Observations from Broker-Dealer Examinations Related to Regulation Best Interest  Today the Division of Examinations published a Risk Alert to highlight observations from examinations related to Regulation Best Interest.  The Risk Alert is intended to assist broker-dealers in reviewing and enhancing their compliance programs related to Regulation Best Interest.   The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in the Risk Alert.   View the Risk Alert:  Observations from Broker-Dealer Examinations Related to Regulation Best Interest
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2023 Certified Eagles & Buffalos are now in stock & shipping!

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Complete your collection with the final PAC-MAN release & shop Pioneer Metals products on sale. 2023 Certified Eagles & Buffalos: In Stock & Shipping 2023 certified Eagles and Buffalos are now in stock and shipping at APMEX! Featuring a variety of metals, labels, and prices, the certified versions of these popular bullion series add collectible appeal to your investment. PCGS and NGC certification provides excellent third-party guaranteed authenticity and quality of your coins, so shop the newly released 2023 certified Eagles and Buffalos today!  SHOP NOW PAC-MAN Maze Redesigned to Fit a Coin For its final APMEXclusive® release, the popular PAC-MAN collection is back featuring the legendary PAC-MAN Maze redesigned by APMEX in cooperation with Bandai-Namco to fit on 2 ounce BU silver and colorized silver coins. These latest collectible coins depict PAC-MAN racing around to reach all the dots as the GHOSTS chase him. The Circular Maze coins come in very limited min
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Reserve Your Spot at the 2023 CRCP Program

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This Popular Program Sells Out! Reserve Your Spot Now. Join world-renowned professors and expert faculty for two weeks of intensive learning at the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program . Join us in Washington, DC for Week I on July 16-21, 2023 , and Week II on November 12-17, 2022 . Enhance your career by gaining an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. Plus—take full advantage of your time at the program by building your network of industry experts and compliance professionals. REGISTER NOW Why Attend: Georgetown is one of the top business school in the country, providing expertise in Executive Education programs with a reputation for academic excellence. Comprehensive curriculum coveri
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Securities and Exchange Commission Upcoming Events Update

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You are subscribed to receive updates on upcoming events for the Securities and Exchange Commission. This information has recently been updated and is now available. https://www.sec.gov/about/upcoming-events.htm       You can update your subscriptions, modify your password or e-mail address, or stop subscriptions at any time on your  Subscriber Preferences Page . For more information on collecting personally identifiable information, please read the SEC's privacy policy . Manage Preferences  |  Help This email was sent to alwaysonsales@gmail.com using GovDelivery Communications Cloud on behalf of: Securities and Exchange Commission · 100 F Street, NE · Washington, DC 20549 · 202-551-4120
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Other SEC Orders, Notices, and Information Updates

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You are subscribed to receive alerts on Other SEC Orders, Notices, and Information from the Securities and Exchange Commission. You are subscribed to Other Commission Orders, Notices, and Information for Securities and Exchange Commission. This information has recently been updated, and is now available.     https://www.sec.gov/rules/other.shtml   You can update your subscriptions, modify your password or e-mail address, or stop subscriptions at any time on your  Subscriber Preferences Page . For more information on collecting personally identifiable information, please read the SEC's privacy policy . Manage Preferences  |  Help This email was sent to alwaysonsales@gmail.com using GovDelivery Communications Cloud on behalf of: Securities and Exchange Commission · 100 F Street, NE · Washington, DC 20549 · 202-5
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