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OCIE Announces Examination Priorities for 2020, Emphasizing Emerging Trends, Technologies, and Compliance with New Regulation Best Interest

USA - January 14 2020 On Monday, January 7, 2020, the Office of Compliance Inspections and Examinations (OCIE), the audit and examination arm of the U.S. Securities and...

Kevin C. Timken, James R. Kruse, Betsy T. Voter.

SEC Proposes Expanded Definitions for Accredited Investors and Institutional Buyers

USA - December 20 2019 On December 18, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments that would expand the definitions of “accredited...

Joshua B. Erekson, Gregory J. Lynch, Kevin C. Timken, Melissa M. Turczyn, Michael H. Altman.

SEC Issues Guidance to both Investment Advisers and Proxy Advisory Firms

USA - August 29 2019 During an open meeting on August 21, 2019, SEC Commissioners voted 3-2 along party lines to publish guidance regarding the applicability of proxy...

Joshua B. Erekson, Gregory J. Lynch, Kevin C. Timken, Erika M. Tribuzi, Michael H. Altman.

In Continuing Push Toward “Principles-Based” Disclosure, SEC Proposes Additional Amendments to Regulation S-K

USA - August 22 2019 The SEC has proposed amendments to required public company disclosure of descriptions of business, legal proceedings, and risk factors. These...

Joshua B. Erekson, Kevin C. Timken, Michael H. Altman.

SEC Issues New Regulations for Broker-Dealers and Investment Advisers

USA - June 13 2019 On June 5, 2019, the SEC passed Regulation Best Interest (“Regulation BI”) by a 3-1 vote. Regulation BI aims to expand and clarify the standards of...

Joshua B. Erekson, Kevin C. Timken, Betsy T. Voter.