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SEC Launches Self-Reporting Initiative for Investment Advisers

In line with Chairman Jay Clayton’s oft-stated priority of protecting the long-term interests of Main Street investors, on Feb. 12, 2018, the Securities and Exchange Commission’s Division of Enforcement announced the launch...more

SEC 2018 National Exam Program Examination Priorities

On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2018 National Exam Program Examination Priorities (NEPEP). The NEPEP are organized around five themes,...more

FINRA Rules Relating to Financial Exploitation of Seniors Become Effective

Effective Feb. 5, the Financial Industry Regulatory Authority amended Rule 4512 (Customer Account Information) and adopted new Rule 2165 (Financial Exploitation of Specified Adults) in an effort to address the “serious and...more

Supreme Court to Decide Constitutionality of SEC Administrative Judge Hiring Process

The U.S. Supreme Court will decide a longstanding controversy regarding the validity of the appointment process for Securities and Exchange Commission (SEC) administrative law judges (ALJs). The decision will impact the...more

Cyber Unit Files First ICO Fraud Action

The U.S. Securities and Exchange Commission (SEC) announced Dec. 4 that its newly formed Cyber Unit filed its first enforcement action, in which it “obtained an emergency asset freeze to halt a fast-moving Initial Coin...more

SEC Expected to Expedite FCPA Investigations in Light of Kokesh

On November 9, 2017, Steven R. Peikin, Co-Director of the SEC’s Division of Enforcement, delivered a keynote speech at a conference commemorating the 40th anniversary of the enactment of the Foreign Corrupt Practices Act...more

SEC Agenda Will Focus on Transparency

In a Nov. 8, 2017, speech at the Practising Law Institute on Securities Regulation, Securities and Exchange Commission (SEC) Chairman Jay Clayton previewed the SEC’s near-term agenda. In his published remarks, Clayton...more

Securities and Enforcement Update

On Sept. 26, 2017, Securities and Exchange Commission Chairman Jay Clayton testified before the Senate Committee on Banking, Housing and Urban Affairs for the first time since his confirmation. Although the testimony and...more

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