Year: 2020

The Commission’s Office of Compliance Inspections and Examinations or OCIE issued a Risk Alert on November 9, 2020 (here) centered on questions keyed to supervision and compliance in the context of multiple branch advisories. The alert is a combination of …

OCIE Observations on Supervision and Compliance for Branch Offices Read More »

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The search for a new SEC Chair is likely to begin, now that a new President has been elected. While the President-elect and his team undoubtedly have more than enough on their plate, look for the nomination of a new …

This Week In Securities Litigation (Week of November 9, 2020) Read More »

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