Month: January 2019

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 …

The 2019 OCIE National Exam Program Read More »

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The holidays have ended and the Government shut down is in full progress. It is time to catch-up on end of the year and get ahead of the curve for 2019. The Commission ended the 2018 by filing fifteen new …

This Week In Securities Litigation (2018 Year End Edition) Read More »

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