James E.B. Bobseine

James E.B. Bobseine

Dechert LLP

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Latest Posts › OCIE


U.S. Chamber of Commerce Joins Chorus Pushing For Overhaul in SEC Enforcement Practices

A recent report by the Center for Capital Markets Competitiveness at the U.S. Chamber of Commerce (Chamber Report) regarding the enforcement program of the Securities and Exchange Commission (SEC or Commission) identified...more

10/26/2015 - Administrative Proceedings Admissions ALJ Broken Windows Capital Formation Capital Markets Chamber of Commerce Competition Corporate Crimes Corporate Investigations Depositions Discovery Enforcement Actions Forum Selection Injunctions Investor Protection OCIE SEC Wells Notice

2013 Examination Priorities of the U.S. SEC’s Office of Compliance Inspections and Examinations

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Exchange Commission (“SEC”) on February 21, 2013 announced its examination priorities for this year. These highlight market-wide issues such as...more

3/14/2013 - Broker-Dealer Clearing Agents Conflicts of Interest Fraud Investment Adviser NEP OCIE SEC Transfer Agents

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