Timothy B. Nagy

Nov 7, 2024 | mondaq.com | Adam D. Kanter |Timothy B. Nagy |Anna Pinedo |Stephen Vogt

Priorities Include Artificial Intelligence and Other Emerging Technologies, Complex Products, Reg BI, Cybersecurity, Outsourcing, Private Funds and Compliance with New and Amended SEC Rules On October 21, 2024, the Division of Examinations ("EXAMS" or the "Division") of the U.S. Securities and Exchange Commission ("SEC") released its examination priorities (the "2025 Priorities") for fiscal year 2025 (which started October 1, 2024).1 Over the course of 2025, the Division intends for its...

Apr 25, 2024 | lexblog.com | Timothy B. Nagy

In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 examination priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more. Read the related client alert. This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 1 and 2 are available on our MB Microtalk page.

Apr 23, 2024 | lexblog.com | Timothy B. Nagy

In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 exam priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more. Read the related client alert. This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 1 and 3 are available on our MB Microtalk page.

Apr 18, 2024 | lexblog.com | Timothy B. Nagy

In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 exam priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more. Read the related client alert. This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 2 and 3 are available on our MB Microtalk page.

Apr 8, 2024 | mondaq.com | Timothy B. Nagy

In this MB Microtalk video, Mayer Brown's Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements. Read our related client alert. This microtalk is a part of a series on the FINRA Notice on Private Placements. Parts 1, 2 and 3 are available on our MB Microtalk page.