Matthew White

Matthew White

Baker Donelson

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SEC Issues Guidance on its 2014 Examination Priorities

Each year, the SEC Office of Compliance Inspections and Examination's National Exam Program (NEP) issues a letter communicating to investors and registrants the areas that the staff perceives to present heightened risks. This...more

2/19/2014 - Compliance Enforcement Actions Fraud NEP SEC

FINRA Issues 2014 Regulatory and Examination Priorities Letter

On January 2, 2014, the Financial Industry Regulatory Authority (FINRA) issued its 2014 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight new and existing...more

2/11/2014 - Enforcement Actions FINRA Fraud Investigations

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