Cheri Hoff

Cheri Hoff

Bracewell & Giuliani LLP

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SEC's Findings and Observations on OCIE's Presence Exam Initiative

During his speech on May 6, 2014, Andrew J. Bowden, the Director of the Office of Compliance, Inspections, and Examinations (OCIE) of the Securities and Exchange Commission (SEC) provided an overview and initial observations...more

5/26/2014 - Compliance Disclosure Hidden Fees Investor Protection Limited Partnerships Marketing OCIE Operating Partners Presence Exam Initiative Private Equity SEC Valuation

SEC Establishes Cybersecurity Initiative for Broker-Dealers and Investment Advisers

On April 15, 2014, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released a National Exam Priority Risk Alert announcing its initiative to evaluate cybersecurity...more

5/26/2014 - Broker-Dealer Compliance Cybersecurity Investment Adviser NEP OCIE Risk Alert SEC

SEC Lifts Ban on General Solicitation

On July 10, 2013, the Securities and Exchange Commission (SEC), in a 4-1 vote, adopted a rule lifting the ban on "general solicitation" and advertising in Rule 506 offerings. The ban has historically barred issuers from...more

7/19/2013 - Advertising Dodd-Frank Fundraisers General Solicitation JOBS Act Marketing Regulation D Rule 144A Rule 506 Offerings Sales SEC

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