Joshua Horn

Fox Rothschild LLP

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SEC’s Office Of Compliance Inspections Releases Its 2018 Examination Priorities

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has released its 2018 examination priorities, an annual report outlining the areas of the securities industry its examiners...more

2/13/2018 / Anti-Money Laundering , Broker-Dealer , Cybersecurity , Financial Industry Regulatory Authority (FINRA) , OCIE , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)

One Man’s Rogue Broker Is Another Man’s Treasure

Like it has in the past, FINRA is sharply focused on examining brokers with a disciplinary past, including the indentification and examination of such brokers being placed at the top of its 2017 exam priorities. Does this...more

1/30/2017 / Brokers , Financial Industry Regulatory Authority (FINRA) , SEC Examination Priorities

Is this the first shot in the SEC’s war against social media?

The SEC has repeatedly included issues around social media in its annual exam priorities for investment advisers. With the SEC’s recent release of a final rule on the subject, the SEC has taken that “exam priority” to the...more

9/6/2016 / Corporate Counsel , Corporate Governance , Disclosure Requirements , Form ADV , Investment Adviser , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Social Media Policy

The SEC Now Has A Lead Cybersecurity Senior Adviser: Now What?

The SEC recently created a new position associated with cybersecurity; senior adviser to the chair for cybersecurity (Christopher R. Hetner). Mr. Hetner has an extensive background in information technology and, in...more

7/12/2016 / Cybersecurity , Enforcement Actions , SEC Examination Priorities , Securities and Exchange Commission (SEC)

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