ocie

According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...

The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations...

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced...

On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliance...

Rule 206(4)-1 under the Investment Advisers Act, better known as the Advertising Rule, prohibits...

On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarized...