Articles

Results 6 to 10 of 25


SEC Publishes OCIE 2020 Examination Priorities

USA - January 9 2020 On Jan. 7, the SEC announced the publication of the annual Office of Compliance Inspections and Examinations (OCIE) 2020 Examination Priorities. In…

2019 Report on FINRA Examination Findings and Observations

USA - October 30 2019 In October 2019, the Financial Industry Regulatory Authority (FINRA) released its “2019 Report on FINRA Examination Findings and Observations” (the…

Vincent Lewis, William B. Mack

August 2017 Cybersecurity & Risk Alert from SEC

USA - August 16 2017 On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its third National Exam Program Risk Alert of the 2017…

Arthur Don, Elizabeth C. Rogers

2017 SEC Exam Priorities for Securities Industry Registrants

USA - January 18 2017 The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of…

Christopher P. McHugh

SEC’s Office of Compliance Inspections and Examinations Releases Annual Examination Priorities

USA - January 13 2017 On Jan. 12, 2017, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued its annual…