The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years of priority announcements, this is by far the earliest annual announcement; the 2023 priorities were issued in February 2023. These priorities particularly address areas of concerns based on recent examinations, and often forecast referrals to the Division if material rule violations or deficiencies are uncovered. 

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Tags: Financial Regulation and Compliance, FRAC, GT Insight, securities and exchange commission, Securities Litigation
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Photo of Arthur Don Arthur Don

Arthur Don has more than 45 years of experience representing public and private investment companies, money managers and investment advisers, mutual funds and their independent directors, private investment funds (including private equity funds and real estate funds), and broker-dealers. His practice focuses on…

Arthur Don has more than 45 years of experience representing public and private investment companies, money managers and investment advisers, mutual funds and their independent directors, private investment funds (including private equity funds and real estate funds), and broker-dealers. His practice focuses on regulatory structuring and compliance matters, governance, and sophisticated securities matters and transactions.

Throughout his career, Arthur has represented some of the nation’s most well-known and successful investment managers. His decades-long experience in the investment management arena enables him to provide bespoke counseling and strategies.

In addition, Arthur has represented issuers and underwriters in numerous public offerings. He frequently advises on independent director fiduciary duties and compliance policy issues and the implementation of ESG (Environmental, Social, and Governance) principles.

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Photo of Steven M. Malina Steven M. Malina

Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, hedge fund matters, and securities and general commercial litigation. He represents officers, directors,

…

Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, hedge fund matters, and securities and general commercial litigation. He represents officers, directors, broker-dealers, investment advisors, commercial banks, investment banks, investment management firms, and public issuers in investigations and disciplinary proceedings initiated by the SEC, CFTC, FINRA, FDIC, NYSE, CBOE, CME, and state regulators. In addition, Steve represents clients in related investor class-action, derivative, and other litigation and arbitration. He has also conducted internal investigations on behalf of publicly traded companies and represented committees and executive officers in internal investigations. Steve has represented brokerage firms and their management in customer-initiated cases, and injunction and arbitration proceedings.

Prior to entering private practice, Steve served as First Vice President and Deputy Regional Counsel for a large financial corporation and was a Senior Attorney in the Branch of Enforcement of the U.S. Securities and Exchange Commission.

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Photo of John Warren John Warren

John Warren is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Investment Management group. John focuses his practice on forming private equity, distressed debt, venture capital and special strategy investment funds. John also represents clients…

John Warren is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Investment Management group. John focuses his practice on forming private equity, distressed debt, venture capital and special strategy investment funds. John also represents clients in connection with investments in private funds.

In addition, John has private sector experience. Prior to law school, John worked for Goldman Sachs and Guggenheim Partners, distributing private and public funds to institutions and intermediaries, where he obtained Series 7 and Series 66 securities licenses.

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