Day: March 7, 2019
Warshaw Burstein’s Meryl Wiener on the SEC Examination Priorities for 2019
Warshaw Burstein partner Meryl Wiener examines the newly announced SEC Examination Priorities for 2019. She outlines what SEC registered entities, from established broker-dealers to newly-formed hedge funds, should consider in dealing with a routine examination by the SEC (as opposed to an examination for cause, which will be covered in a future podcast). Meryl notes…