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Broker-Dealer › National Examination Priorities

Bracewell LLP

SEC Establishes Cybersecurity Initiative for Broker-Dealers and Investment Advisers

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On April 15, 2014, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released a National Exam Priority Risk Alert announcing its initiative to evaluate cybersecurity...more

Goodwin

SEC Staff Announces 2014 Broker-Dealer Examination Priorities

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

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

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Recent Developments"

Skadden, Arps, Slate, Meagher & Flom LLP on

Below is a summary of certain recent guidance from the Securities and Exchange Commission (the “SEC”) that is applicable to investment advisers and broker-dealers, namely: (i) an SEC Risk Alert regarding the Custody Rule...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

Baker Donelson

SEC Office of Compliance Inspections and Examinations Issues 2013 Exam Priorities

Baker Donelson on

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

Foley Hoag LLP

SEC Releases 2013 Examination Priorities

Foley Hoag LLP on

On February 21, 2013, the US Securities and Exchange Commission (the “SEC”) released its examination priorities for 2013. The priorities were published by National Examination Program (“NEP”), a program administered through...more

Morrison & Foerster LLP

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

Morrison & Foerster LLP on

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

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