SEC Operations

You’ll be able to choose from several regional compliance meetings – the old CCOutreach formats – scheduled from June through September this year. OCIE and ...

Last year, we told you that OCIE had contracted with a Tennessee company, Capital Confirmation, to do electronic verification of accounts for custody inquiries during ...

The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...

Complaints about the SEC taking more cases to its home court administrative law judges versus federal courts have prompted legal challenges. Last week, a federal ...

Internationally, we must find a new way: we must swap our regulatory hubris for humility, and work to find common ground with our international counterparts ...

The SEC has named Marc Wyatt to be the acting director of OCIE after this week's announcement that Andrew Bowden will be leaving the agency at ...

Speaking last month at the SEC Speaks conference in Washington, D.C., SEC Chair Mary Jo White said the agency needs to focus “particular attention to ...

That didn’t take long. The House Committee on Financial Services has criticized President Obama’s FY2016 budget and homed in on the SEC’s 15% requested increase ...

The SEC has turned “a blind eye” to repeated violations by Oppenheimer & Co. ($8.6B in AUM) and departed from its “long-established” criteria when it ...

A top priority of the SEC’s fiscal year 2016 budget is the hiring of an additional 225 examiners, primarily to conduct inspections of investment advisers. ...