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Broker-Dealer Clearing Agents

Ballard Spahr LLP

Clearing Broker Continues to Take Aim at SEC’s Ability to Enforce the BSA

Ballard Spahr LLP on

First Post in a Two-Part Series - On December 11, Judge Denise Cote of the Southern District of New York granted, in part, the Securities and Exchange Commission’s (“SEC”) motion for summary judgement in its action against...more

Katten Muchin Rosenman LLP

FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules

In June, the Financial Industry Regulatory Authority updated its interpretations of the Securities and Exchange Commission Rules 15c3-1 (net capital) and 15c3-3 (customer protection). Among other things, FINRA updated its...more

Goodwin

SEC 2014 Adviser Examination Priorities Include Continuation of Presence Exams and Initiative Targeting Never-Before Examined...

Goodwin on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced the 2014 examination priorities (the “Announcement”) for its National Examination Program (the “NEP”). The priorities are organized according to...more

BakerHostetler

SEC Releases National Examination Program Priorities for 2013

BakerHostetler on

On February 21, 2013, the National Examination Program (NEP), which is administered by the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), published its examination...more

Dechert LLP

2013 Examination Priorities of the U.S. SEC’s Office of Compliance Inspections and Examinations

Dechert LLP on

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Exchange Commission (“SEC”) on February 21, 2013 announced its examination priorities for this year. These highlight market-wide issues such as...more

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