Tag: investment advisers

The 2019 OCIE National Exam Program

The Commission’s Office of Compliance Inspections and Examinations or OCIE announced its 2019 Examination Priorities just before Christmas and the current Government partial-shutdown (here). While the inspection program is currently at a stand-still, at some point in the near future

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This Week In Securities Litigation (Week ending Nov. 23, 2018)

During the week leading up to the Thanksgiving holiday, and the day after, the Commission filed two actions centered on initial coin offerings. Those actions, involving coin offerings that follow the issuance of the DAO section 21(a) report, set a

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