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Registration Office of Compliance Inspections and Examinations

Dechert LLP

OCIE Cyber Risk Alert Identifies Increase in Sophistication of Ransomware Attacks on SEC Registrants

Dechert LLP on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a cybersecurity risk alert on July 10, 2020 regarding ransomware (Alert). In the Alert, OCIE described “recent reports”...more

Bracewell LLP

SEC's Office of Compliance Inspections and Examinations Issues Risk Alert for Municipal Advisors

Bracewell LLP on

On November 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a risk alert that described the staff’s observations from over 110 examinations...more

Goodwin

SEC Announces Exam Initiative Targeting Newly Registered Municipal Advisors

Goodwin on

The SEC announced an initiative in which its Office of Compliance Inspections and Examinations (OCIE) plans to examine a significant percentage of newly registered municipal advisors over the next two years using an approach...more

Broker-Dealer Compliance + Regulation

SEC Launches Exam Initiative for Newly Registered Municipal Advisors

The SEC is not wasting any time making sure that newly registered municipal advisors are introduced to their regulator. On August 19, 2014, the SEC announced a two-year examination initiative for municipal advisors that...more

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