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OCIE Publishes Risk Alert on the Use of Electronic Messaging by Investment Advisers and Employees

USA - January 24 2019 The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert on...

Ashley N. Rodriguez, Christine Ayako Schleppegrell, Phillip Garber, Michael L. Sherman.


SEC Staff Withdraws Guidance on Proxy Firms and Holds Proxy Roundtable; Chairman Clayton Indicates that SEC Will Act in 2019

USA - December 18 2018 In connection with the public roundtable on the proxy voting process (Roundtable) held by the staff of the Securities and Exchange Commission on...

Neema Nassiri, Michael L. Sherman.


SEC Enforcement Division Releases 2018 Annual Report

USA - November 30 2018 On November 2, 2018, the SEC Enforcement Division (“Division”) released its Annual Report summarizing the past year’s enforcement activity. In the...

Joseph Fazioli, Eric Auslander, Catherine Botticelli, Dennis Lawson.


OCIE Publishes Risk Alert on Most Frequent Best Execution Compliance Issues Found During Examinations

USA - August 7 2018 The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on July 11...

Ashley N. Rodriguez, Michael L. Sherman.


SEC Proposes Best Interest Standard for Broker-Dealers, Related Investment Adviser Guidance and New Customer Relationship Summary Form

USA - July 11 2018 The U.S. Securities and Exchange Commission has published a package of proposed rules and a proposed interpretation...

Brian J. McGrady, Jr, K. Susan Grafton, James V. Catano, Ashley N. Rodriguez, Christine Ayako Schleppegrell, Shayna Gilmore, Yevgeniy Yalon, Jennifer O'Brien, Michael L. Sherman, Nicholas DiLorenzo.