Year: 2020

The Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert titled CyberSecurity: Ransomware Alert (July 10, 2020)(here). The OCIE Alert follows one issued on the same topic by Homeland Security (AA19-339A), dated June 30 2020 (here), which …

OCIE and Cybersecurity: A Key Issue for All Read More »

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The Commission continued to focus on rule modifications typically described as updating existing rules. This week the agency issued proposed rules designed to update the reporting for institutional investor holdings. Commissioner Allison Herron Lee issued a statement cautioning about the …

This Week In Securities Litigation (Week of July 13, 2020) Read More »

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