While you must answer the form's disciplinary question, in a new twist, the FAQs provide permission to give separate answers for the firm and its ...
There may be a reason this change wasn't mentioned by SEC staff recently—it attracted nearly 2,300 comments—many of them urging the agency to drop the ...
The Commission released these Oct. 8, 2020. They emphasize how to report disciplinary histories
The latest sweep exam letter reveals a growing sophistication in OCIE’s grasp of cybersecurity
The ICO letter states UK firms regulated by the UK’s FCA and the SEC “are allowed to turn [records] over to the SEC in the ...
If you can’t watch the live event or it fills up, there will be a recording on the SEC website following the webcast
It's has been a chore to lure an accountant in for a surprise exam in this year of the pandemic
The SEC declined to shorten the 120-day window before a compliance officer could lodge a whistleblower complaint
Compliance bulletins on manipulative trading techniques seemingly ignored
Altered reports were delivered to OCIE and Enforcement by the CCO