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Ballard Spahr LLP

Investment Management Update

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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

A&O Shearman

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

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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

Dechert LLP

SEC 2018 Examination Priorities Match Chairman Clayton’s Priorities as Reflected in the Agency’s Budget Request

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This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit...more

K&L Gates LLP

The SEC’s Office of Compliance Inspections and Examinations and FINRA Announce 2018 Examination and Regulatory Priorities

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On January 8 and February 7, 2018, respectively, the Financial Industry Regulatory Authority (“FINRA”) and the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”)...more

McGuireWoods LLP

SEC 2018 National Exam Program Examination Priorities

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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

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