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SEC Examination Priorities Today's Popular Updates

Cozen O'Connor

A Helpful Reminder for Broker-Dealers Subject to Examination by the SEC

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On June 5, 2024, the SEC's Division of Examinations (the Division) released a risk alert regarding the examination of broker-dealers. The alert acknowledges the diversity of the broker-dealer population in the marketplace...more

White & Case LLP

SEC Lists Crypto and Information Security Among its 2024 Examination Priorities

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On October 16, 2023, the US Securities and Exchange Commission ("SEC") Division of Examinations ("Examination Division") announced its 2024 Examination Priorities. Registrants should ensure that policies, procedures, and...more

Lowenstein Sandler LLP

Material Investment Management Developments and Template Annual Compliance Checklists for Registered Investment Advisers, Exempt...

Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below. Summaries of recent legal developments with respect to: •SEC’s 2023 Examination Priorities- ...more

Goodwin

Jury Acquits Tesla and Musk of Securities Fraud for 2018 Tweets Regarding Going Private

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On February 3, 2023, in the matter In re Tesla Inc. Securities Litigation, Case No. 3:18-cv-04865, a California federal jury cleared Tesla, Inc. (Tesla), and CEO Elon Musk of claims that they committed securities fraud,...more

Lowenstein Sandler LLP

SEC Releases 2023 Examination Priorities for Registered Investment Advisers and Broker-Dealers

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On February 7, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Priorities Report1 for upcoming examinations of registered investment advisers...more

Goodwin

Cybersecurity Remains a Key Focus Area for the SEC and FINRA

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Cybersecurity and technology governance remain a top area of focus for the SEC and FINRA, as the regulators continue to concentrate on improving the overall cybersecurity posture and resiliency of the financial sector. FINRA...more

Proskauer Rose LLP

Regulatory Oversight of Privacy, Cybersecurity & Private Investment Funds

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Privacy and cybersecurity issues continue to garner significant attention in the U.S. and abroad. Private investment funds registered with the SEC and their portfolio companies will likely see increased regulatory scrutiny...more

Perkins Coie

Blockchain Week in Review - March 2021 #2

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U.S. Developments - Legislation - Congress Members Propose Legislation Aimed at Better Clarifying Digital Asset Regulation - House Representatives Patrick McHenry (R-N.C.) and Stephen Lynch (D-Mass.) introduced legislation...more

Goodwin

U.S. Broker-Dealers and Investment Advisers: Prepare for Fast Approaching Regulation Best Interest and Form CRS Deadline

Goodwin on

The compliance date of June 30, 2020, is looming for U.S. broker-dealers subject to Regulation Best Interest (Reg. BI) and broker-dealers and investment advisers required to prepare and provide relationship summaries pursuant...more

Burr & Forman

Cyber Still Atop Exam Priorities

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FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

Nelson Mullins Riley & Scarborough LLP

2020 SEC and FINRA Examination Priorities and Cybersecurity Observations

During January of 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued two reports that highlight the work and priorities of OCIE: on January 7, 2020, OCIE issued...more

Hogan Lovells

SEC Releases Cybersecurity and Resiliency Observations: A Potentially Useful Guide for Businesses

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In today’s connected world, businesses face constant pressure to improve their cybersecurity practices and to confirm that they are meeting industry standards. To continue helping businesses achieve those goals, the SEC...more

Dorsey & Whitney LLP

Cybersecurity: Key Considerations Developed by OCIE

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The SEC’s Office of Compliance Inspections and Examinations published a series of observations gleaned from thousands of exams over a period of years. While OCIE’s charge is the inspection of certain SEC registrants the...more

Baker Donelson

SEC & FINRA: Shared Regulatory Priorities for 2019

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Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. ...more

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

FINRA Issues 2019 Annual Risk Monitoring and Examination Priorities Letter, Highlighting Potential Areas Of Enforcement Risk

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On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued its annual letter describing its current risk monitoring and examination priorities. See FINRA, Risk Monitoring and Examination Priorities...more

Locke Lord LLP

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

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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, Arps, Slate, Meagher & Flom LLP

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

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

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

Proskauer Rose LLP

SEC Staff Announces 2019 OCIE Examination Priorities

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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

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

Baker Donelson

SEC & FINRA: Shared Regulatory Priorities for 2018

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Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

Kramer Levin Naftalis & Frankel LLP

SEC, FINRA Target ICOs, Cybersecurity, Secondary Market Trading in 2018 Examination Priorities

Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to...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

Carlton Fields

OCIE Lessons From Cybersecurity 2 Initiative

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On August 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert containing observations from its Cybersecurity 2 Exam Initiative. As a follow-up to the 2014 Cybersecurity 1 initiative, the...more

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