OCIE Provides Cybersecurity Best Practices Identified in Examinations

February 6, 2020

2019 SEC Regulatory Summary – Advisers and Funds

January 2, 2020

SEC Proposes to Update Longstanding Investment Adviser Advertising and Solicitation Rules

November 13, 2019

SEC Clarifies Investment Adviser Standard of Conduct

June 25, 2019

New SEC Privacy and Cybersecurity Risk Alert Tells Broker Dealers and Investment Advisers Common Deficiencies to Avoid

April 22, 2019

SEC Announces Settlements Resulting from the Share Class Selection Initiative

March 13, 2019

The SEC Continues to Spread Sunshine on Private Equity: Reflections on Two Recent Enforcement Actions

January 30, 2019

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities

January 28, 2019

Beware of Texting While Advising: OCIE Issues an Electronic Messaging Risk Alert

January 22, 2019

OCIE Publishes 2019 Enforcement Priorities

January 4, 2019