June 25, 2020
LIBOR Transition Gets Real at SEC, OCIE
Remember when you were eight years old and your parents warned you to knock it off in the back of th...
Tag: OCIE
February 11, 2020
SEC Tackles Cybersecurity for Financial Services Sector
You’ve probably heard the news: cybersecurity is a big deal these days. And when it comes to prote...
January 16, 2020
Reg BI Headlines Four Securities Enforcement Priorities for 2020
It’s January, and around Washington, D.C., that means it’s time for government agencies to decla...
February 15, 2018
SEC Puts Budget Where Its Mouth Is on Retail Enforcement
For the last eight months, the SEC has talked a big game on retail investors. With remarkable consis...