The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics:
- Protection...more
2/1/2020
/ Anti-Money Laundering ,
Broker-Dealer ,
Critical Infrastructure Sectors ,
Cybersecurity ,
Digital Assets ,
ETFs ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Innovation ,
Investor Protection ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Retail Investors ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Stock Exchange
The Chairman of the Financial Services Committee of the U.S. House of Representatives, Jeb Hensarling (R-TX), on April 19, 2017 released an updated discussion draft of the Financial CHOICE1 Act (Bill), and the Committee held...more
5/1/2017
/ Breach of Duty ,
Burden of Proof ,
Clear and Convincing Evidence ,
Excessive Fees ,
Federal Pleading Requirements ,
Fiduciary Duty ,
Financial Services Industry ,
Gartenberg Factors ,
Investment Adviser ,
Motion to Dismiss ,
Mutual Funds ,
Preponderance of the Evidence ,
Private Right of Action ,
Proposed Legislation ,
Section 36(b) ,
Shareholder Rights ,
Standard of Review