sec

    SEC-1-1

    compliance

    time 3 minute read

    SEC’s Supervision Initiative Reveals Deficiencies In Oversight Of Supervised Persons With Disciplinary Histories

    On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarized...
    SEC-1-1

    sec

    time 3 minute read

    OCIE Risk Alert Helps Firms Safeguard Customer Records and Information In Network Storage

    On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...
    Smaller Fund Outreach Effort_June 21 2019-1

    compliance

    time 1 minute read

    SEC Announces New “Smaller Fund Outreach Effort”

    SEC announces new “smaller fund outreach effort”
    Intern2

    Regulatory Compliance

    time 2 minute read

    Interns, Interns Everywhere!

    SEC-1-1

    sec

    time 5 minute read

    SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs

    On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationship...
    protection

    sec

    time 4 minute read

    Protecting Retail Investors Through Examinations and Outreach

    On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections and...
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    SEC’s Supervision Initiative Reveals Deficiencies In Oversight Of Supervised Persons With Disciplinary Histories

    Les Abromovitz | Jul 26, 2019 9:32:32 AM

    OCIE Risk Alert Helps Firms Safeguard Customer Records and Information In Network Storage

    Les Abromovitz | Jun 25, 2019 1:17:03 PM

    SEC Announces New “Smaller Fund Outreach Effort”

    Chuck Todd | Jun 24, 2019 10:02:23 AM

    Interns, Interns Everywhere!

    Foreside | Jun 13, 2019 10:14:00 AM

    SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs

    Les Abromovitz | Jun 10, 2019 7:54:00 AM

    Protecting Retail Investors Through Examinations and Outreach

    Les Abromovitz | May 30, 2019 9:09:00 AM

    Two RIAs Pay The Price For Violating The Pay-To-Play Rule

    Les Abromovitz | May 22, 2019 11:41:40 AM

    Risk Alert Warns RIAs and Broker-Dealers About Compliance Issues Involving Regulation S-P Privacy Notices and Safeguard Policies

    Les Abromovitz | May 22, 2019 11:33:08 AM

    SEC Won’t Tolerate RIA’s Indifference To Compliance

    Les Abromovitz | May 21, 2019 5:07:18 PM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.