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Regulatory Oversight › Cooperative Compliance Regime › Securities and Exchange Commission (SEC)

Troutman Pepper Locke

Trump Pauses FCPA Enforcement: Implications for Corporate Compliance Strategies

Troutman Pepper Locke on

On February 10, President Donald J. Trump signed an executive order and accompanying fact sheet directing U.S. Attorney General (AG) Pam Bondi to pause the initiation of new investigations and enforcement actions, and to...more

Burr & Forman

SEC Creates New Emerging & Event Risk Unit

Burr & Forman on

The SEC recently announced the creation of the Event and Emerging Risks Examination Team (“EERT”) in its Office of Compliance Inspections and Examinations (“OCIE”).  ...more

Rumberger | Kirk

Minimizing Liability Under the SEC’s Reg-BI

Rumberger | Kirk on

Litigation Risks Posed by the SEC’s Regulation Best Interest - Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s...more

Orrick, Herrington & Sutcliffe LLP

SEC and FINRA's Annual Rites – Announcing Their Examination Priorities

Orrick, Herrington & Sutcliffe LLP on

On January 22, 2019, FINRA published its 2019 Risk Monitoring and Examination Priorities Letter. Released several weeks later than usual, FINRA’s letter follows the December 10, 2018 publication of the 2019 Examination...more

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