Monthly Archives: December 2018

Each year OCIE publishes its exam priorities to promote transparency of its examination program which oversees investment advisers, mutual funds and exchange traded funds, broker-dealers, transfer agents, clearing agencies, national securities exchanges, municipal advisors, FINRA, MSRB, SIPC and PCAOB. This … Read More ›

The SEC released a Risk Alert to remind advisers of their obligations when their personnel use electronic messaging, and to help advisers improve their systems, policies, and procedures. The alert identifies examples of practices that the staff believes may assist … Read More ›