AND	term1 AND term2	Both terms must be included
OR	term1 OR term2	Either term
NOT	term1 NOT term2	term2 must not appear
""	"term1 term2"	Exact match
()	term1 AND (term2 OR term3)	Grouping terms
?	withdr?w	Single letter wildcard (withdraw, withdrew)
*	withdr*	Multiple letter wildcard (withdraw, withdrawn, withdrawing)
"..."~n	"term1 term2"~n	Proximity (term1 within n words of term2)

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Results:1-10 of 1,662

SEC Announces Roundtable on Proxy Process, Signals Potential Change in Approach to Proxy Advisory Firms

Vinson & Elkins LLP
USA
September 19 2018

Recent public statements by the Division of Investment Management of the U.S. Securities and Exchange Commission and by an SEC Commissioner have

SEC Staff Withdraws Proxy Advisory Guidance Ahead of Fall Roundtable on Proxy Process

Sullivan & Cromwell LLP
USA
September 14 2018

Yesterday, the SEC's Division of Investment Management withdrew two interpretive letters issued in 2004 to Egan-Jones Proxy Services and Institutional

Three Notable Developments for Cryptocurrency Firms Portend Future Regulatory Enforcement Actions

Brownstein Hyatt Farber Schreck LLP
USA
September 13 2018

The price of bitcoin is down nearly 80 percent since January 2018. Many other cryptocurrencies are down with it and investors are bearish about the

Recent Development in Regulatory Enforcement of Digital Securities

Sheppard Mullin Richter & Hampton LLP
USA
September 12 2018

In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that

SEC Staff Issues Additional Guidance Regarding Inadvertent Custody

Vedder Price PC
USA
August 21 2018

In February 2017, the staff of the SEC's Division of Investment Management (the Staff) addressed circumstances in which an investment adviser may be

Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure

Vedder Price PC
USA
August 21 2018

Pursuant to an order dated June 4, 2018 (the Order), the SEC settled an administrative proceeding against investment adviser deVere USA, Inc. (DVU)

Cyber Lessons From the SEC?

Patterson Belknap Webb & Tyler LLP
USA
August 20 2018

Public companies worried about cybersecurity risk would be well served to pay attention to a recent crackdown by the U.S. Securities and Exchanges

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

Dechert LLP
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

OCIE Warns Advisers Regarding Best Execution Obligations

Kramer Levin Naftalis & Frankel LLP
USA
August 1 2018

On July 11, 2018, the Securities and Exchange Commission (SEC) issued a risk alert outlining certain compliance issues identified by its Office of

OCIE Issues Risk Alert on Issues Related to Best Execution by Investment Advisers

Drinker Biddle & Reath LLP
USA
July 23 2018

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) identified common deficiencies cited in

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