Risk Management › Broker-Dealer

News & Analysis as of May 24, 2013

Higher Education Oversight and Governance: Role of a College Board of Trustees

SEC Highlights Compliance and Ethics for Broker-Dealers

by David Smyth | Brooks Pierce on 4/11/2013

On Tuesday the SEC held a National Compliance Outreach Program for Broker-Dealers at an open meeting at its D.C. headquarters. The first panel – titled The Role of Compliance and Ethics – was nominally targeted to...more

SEC Office of Compliance Inspections and Examinations Issues 2013 Exam Priorities

by Terrence Davis | Baker, Donelson, Bearman, Caldwell &... on 3/12/2013

On February 23, 2013, through the National Exam Program (NEP), the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published the program's examination...more

SEC Announces 2013 Examination Priorities

by Holland & Knight LLP on 3/7/2013

On February 21, 2013, the National Examination Program in the SEC's Office of Compliance Inspections and Examinations released its examination priorities for 2013 for investors and registrants. The priorities focus on areas...more

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

by Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 2/25/2013

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

Extension of Comment Period on SEC Capital and Margin Rules

by Ian Cuillerier | White & Case LLP on 2/21/2013

Introduction - On October 18, 2012, the Securities and Exchange Commission (the “SEC”) issued Release No. 34-68071 containing its proposed rules (the “Proposed Rules”) relating to the capital, margin and segregation...more

Gone In 60 Seconds: CFTC’s New Rule Will Force Rejections

by Elan Mendel | Shipkevich PLLC on 2/19/2013

U.S. Commodity Futures Trading Commission’s (CFTC) new 60-second rule will require futures commission merchants (FCMs) to have a maximum of 60-seconds to accept or reject a trade for clearing. Risk reports that the CFTC...more

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