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Digital Assets Examination Priorities

Goodwin

FINRA 2022 Exam Report Spotlight: Communications with the Public

Goodwin on

It came as no surprise that FINRA’s 2022 Examination and Risk Monitoring Program Report highlighted communications with the public as a continued area of focus. The primary theme across this focus area relates to the...more

WilmerHale

Commodity Futures Trading Commission - 2019 in Review: CFTC 2019 Enforcement and Regulatory Developments and a Look Forward

WilmerHale on

In 2019, the Commodity Futures Trading Commission (CFTC or Commission) experienced significant changes in leadership, including the appointment of Dr. Heath P. Tarbert as the Commission’s 14th Chairman. The Division of...more

Kramer Levin Naftalis & Frankel LLP

OCIE Releases 2020 Examination Priorities

The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its 2020 Examination Priorities, an annual publication that enhances transparency and provides insights into...more

Dechert LLP

OCIE Releases 2020 Examination Priorities

Dechert LLP on

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

Troutman Pepper

SEC OCIE Issues 2020 Examination Priorities

Troutman Pepper on

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 national examination priorities. This is the eighth year that OCIE has published its fiscal year examination priorities. ...more

Perkins Coie

Blockchain Week in Review - January 2019 #4

Perkins Coie on

Cboe Withdraws and Then Submits a Proposed Rulemaking for a Bitcoin ETF - On January 22, 2019, Cboe BZX Exchange (Cboe) withdrew its proposed rulemaking with the U.S. Securities and Exchange Commission (SEC). Had the...more

Kramer Levin Naftalis & Frankel LLP

OCIE Releases 2019 Examination Priorities

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

Sheppard Mullin Richter & Hampton LLP

FINRA Announces 2019 Regulatory Priorities

On January 22, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its annual priorities letter highlighting its regulatory program’s points of emphasis for the coming year. The most immediately...more

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