The SEC’s Office of Compliance Inspections and Examinations’ exam priorities include issues arising from the continuing convergence of the broker-dealer and investment adviser professions.

Other OCIE priorities include registrants’ use
Continue Reading SEC OCIE Exam Priorities Include Dual Registrants, Technology Use, JOBS Act

The SEC’s Division of Trading and Markets released guidance on the JOBS Act’s elimination of restrictions on analyst communication and research reports concerning initial public offerings of emerging growth companies.


Continue Reading You Need to Be Concerned About Analyst Communications under the JOBS Act