Tag: secactions

The SEC’s Office of Compliance Inspections and Examinations or OCIE announced its examination priorities for 2016. Those priorities generally “reflect certain practices and products that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. …

SEC Exam Priorities for 2016 Read More »

Tagged with: , , ,

Steven Cohen settled his long running case with the SEC. In the Matter of Steven A. Cohen, Adm. Proc. File No. 3-15382 (January 8, 2016). In the settlement Mr. Cohen consented to the entry of an order which precludes him …

The SEC’s Cohen Settlement Read More »

Tagged with: , , ,