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Securities and Exchange Commission (SEC) Document Requests

Akin Gump Strauss Hauer & Feld LLP

U.K. Privacy Regulator Clarifies How U.K. Firms May Respond to SEC Document and Records Requests

Key Points The United States Securities and Exchange Commission (SEC) is able to make requests of U.K. firms (including U.K. branches of non-U.K. firms) to provide books and records and other documents of SEC regulated...more

Vedder Price

Regulation Best Interest Update OCIE Risk Alert on Initial Examinations

Vedder Price on

On April 7, 2020, the Securities and Exchange Commission’s (the “SEC” or the “Staff”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert1 to provide broker-dealers and their associated persons...more

A&O Shearman

SEC Announces Settled Enforcement Action Over Failure To Preserve Documents

A&O Shearman on

On July 17, 2018, the Securities and Exchange Commission (“SEC”) announced a settlement with a New York-based broker-dealer over allegations that the broker-dealer failed to preserve records requested by the SEC and...more

Proskauer - The Capital Commitment

Five Things to Think About Before a Surprise SEC Exam

If a team from the SEC arrives at your office and says, “We are conducting an on-site examination and would like to talk to the CCO right now,” are you prepared? A handful of registered investment advisers have faced surprise...more

Brooks Pierce

The SEC Does Not Care about Your FINRA Document Request

Brooks Pierce on

If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. The self-regulatory organization is responsible for overseeing your securities business and even for your outside...more

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