News & Analysis as of September 19, 2024

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Regulatory Update and Recent SEC Actions - April 2023

Blank Rome LLP on 4/17/2023

REGULATORY UPDATES - Recent SEC Leadership Changes - On January 10, 2023, the Securities and Exchange Commission (the “SEC”) announced the appointment of Cristina Martin Firvida as director of the Office of the Investor...more

SEC Proposes Amendments to Best-Execution Rule

Seward & Kissel LLP on 12/16/2022

Yesterday, SEC Chair Gary Gensler announced proposed amendments to Rule 605 of Regulation NMS to modernize and expand disclosure requirements related to order execution quality. Chair Gensler stated that he was “pleased to...more

Client Alert: Proposed SEC Rules for Investment Advisers and Regulated Funds, and New FTC Safeguard Rule Applicable to Private...

Katten Muchin Rosenman LLP on 3/4/2022

On February 9, 2022, the Securities and Exchange Commission (SEC) voted to propose new rule 206(4)-9 under the Investment Advisers Act of 1940 (Advisers Act) and 38a-2 under the Investment Company Act of 1940 (collectively...more

SEC Division of Examinations Releases 2021 Examination Priorities

Dechert LLP on 3/30/2021

The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2021 Examination Priorities on March 3, 2021. The 2021 Examination Priorities cover eight broad topics: - The protection...more

New Emphasis in SEC 2021 Examination Priorities

Burr & Forman on 3/5/2021

The U.S. Securities and Exchange Commission (“SEC”) released its 2021 Examination Priorities on March 3. The Examinations group – elevated last December to Division status (formerly the Office of Compliance Investigations...more

2020 Investment Adviser Update—There’s a “Voice Inside Your Head You Refuse to Hear” (But You Should)

Robinson & Cole LLP on 4/7/2020

The rules and regulations governing private equity and hedge fund advisers continue to develop in response to changes in technology. As a result, advisers are subject to an ever-increasing degree of supervision by the...more

OCIE Releases 2020 Examination Priorities

Dechert LLP on 2/1/2020

The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics: - Protection...more

OCIE Publishes Its 2020 Examination Priorities

Jones Day on 1/27/2020

The Situation: The U.S. Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") issued its 2020 examination priorities ("Exam Priorities"). The Result: The Exam Priorities...more

Among an Array of 2020 Examination Priorities, SEC Signals Continued Interest in Cryptocurrency

Proskauer - Blockchain and the Law on 1/16/2020

On January 7, 2020, the Securities and Exchange Commission (“SEC”)’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. The majority of OCIE’s priorities for the coming year...more

SEC Examination Priorities for 2020 Include Both Emerging and Existing Concerns for Registered Investment Advisers and...

King & Spalding on 1/16/2020

On January 7, 2020, the Securities and Exchange Commission (“SEC”) issued its 2020 Examination Priorities, a yearly publication highlighting new and existing areas of focus for the Office of Compliance Inspections and...more

SEC Exam Priorities For RIAs and ICs

Dorsey & Whitney LLP on 1/15/2020

The Exam Priorities of the SEC’s Office of Inspections and Compliance or OCIE, announced on January 7, 2020 (the “Exam Priorities”), should be a key area of focus for every investment advisor and investment company. The Exam...more

SEC Office of Compliance Inspections and Examinations Issues 2020 Examination Priorities

Foley Hoag LLP on 1/13/2020

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its annual examination priorities for the coming year (2020 Priorities). The 2020 Priorities are important for regulated entities,...more

“The Opinions Offered Today Are Mine Alone And Do Not Represent The Commission” — A Summary Of Recent Remarks From SEC And CFTC...

UB Greensfelder LLP on 9/30/2019

Anyone who has sat through a talk by financial regulators is undoubtedly familiar with the refrain from the individuals that they do not speak for the Commission and that the opinions offered are their own. Even with that...more

Federal Securities Litigation and Regulation: A Periodic Review and Predictions for the Remainder of 2019

Cadwalader, Wickersham & Taft LLP on 5/13/2019

While the past year, or even eighteen months, was short on landmark federal securities law decisions, there was significant activity on the part of private securities litigants. In 2018, plaintiffs filed 403 new federal...more

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Pillsbury Winthrop Shaw Pittman LLP on 3/6/2019

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

Investment Management Update

Ballard Spahr LLP on 2/15/2019

The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more

OCIE Releases 2019 Examination Priorities

Kramer Levin Naftalis & Frankel LLP on 2/1/2019

The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program....more

SEC Office of Compliance Inspections and Examinations Release National Exam Program Examination Priorities for 2019

Locke Lord LLP on 1/30/2019

On December 20, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) issued its 2019 examination priorities letter. OCIE releases examination priorities...more

Skadden's 2019 Insights: SEC Continues Steady Progress With Regulatory, Enforcement Goals

Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2019

As the Securities and Exchange Commission (SEC) enters the third year of the Trump administration, its regulatory and enforcement goals remain largely unchanged. At the direction of Chairman Jay Clayton, the SEC continues to...more

SEC’s Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities

A&O Shearman on 1/15/2019

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2019. In it, OCIE points out that its examination program covers some 13,200...more

SEC Staff Announces 2019 OCIE Examination Priorities

Proskauer Rose LLP on 1/11/2019

On December 20, 2018, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2019 examination priorities. The examination priorities covered six thematic areas: (i) compliance and...more

The SEC's National Exam Program 2019

Dorsey & Whitney LLP on 1/10/2019

The SEC's Office of Compliance Inspections and Examinations (“OCIE” or the “Office”) announced its 2019 Examination Priorities just before Christmas and the current Government partial-shutdown (here). While nonemergency...more

2019 Examination Priorities of SEC Office of Compliance Inspections and Examinations are Announced

Dechert LLP on 12/22/2018

Next year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on December 20, 2018, and cover six broad, albeit...more

SEC Enforcement Division Releases 2018 Annual Report

Dechert LLP on 12/7/2018

On November 2, 2018, the SEC Enforcement Division (“Division”) released its Annual Report summarizing the past year’s enforcement activity. In the 2018 fiscal year, the first full fiscal year that Stephanie Avakian and Steven...more

SEC Enforcement’s Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, and Individual Accountability

Sheppard Mullin Richter & Hampton LLP on 11/29/2018

The Enforcement Division of the United States Securities and Exchange Commission (“SEC”) recently released its annual enforcement report (“Report”) for fiscal year 2018. The Report reflects an increased focus on retail...more

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