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2021 SEC Examination Priorities for Securities Industry Registrants

USA - March 26 2021 The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…

Claudio J. Arruda, Arthur Don, Steven M. Felsenstein, Elaine C. Greenberg, Steven M. Malina.

2021 Report on FINRA’s Examination and Risk Monitoring Program

USA - February 1 2021 On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA's Examination and Risk Monitoring Program (Report), in…

Arthur Don, Douglas W. Hathaway, William B. Mack.

SEC proposes rule changes to mutual fund and exchange traded fund disclosures

USA - August 27 2020 On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds…

Tanya L. Boyle, Terrence O. Davis, Arthur Don, Steven M. Felsenstein, Nathan M. Iacovino.

The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities

USA - August 3 2020 Proxy advisory firms (Proxy Firms) have long provided institutional investors advice and recommendations with respect to management and shareholder…

Arthur Don, Steven M. Felsenstein, Vincent Lewis.

2020 SEC Exam Priorities for Securities Industry Registrants

USA - January 21 2020 The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of 2020…

Arthur Don, Steven M. Felsenstein, Vincent Lewis.