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Browsing Hashtag: #OCIE

People

Gandy is New Co-Head of OCIE Examinations for RIAs, RICs

June 6, 2019

Compliance Concepts

OCIE Offers Guidance on Complying with Regulation S-P

May 8, 2019

Regulators

SEC and FINRA Compliance Outreach for Broker-Dealers

April 16, 2019

Compliance Concepts

OCIE 2019 PRIORITIES - Retail Investors

December 25, 2018

Compliance Concepts

SEC Publishes OCIE's 2019 Examination Priorities

December 21, 2018

Compliance Concepts

Municipal Compliance Outreach Program

December 17, 2018

People

SEC Announces Incoming and Outgoing Deputy Directors of OCIE

July 26, 2018

Compliance Concepts

OCIE Risk Alert: Best Execution Issues Cited in Adviser Exams

July 13, 2018

People

SEC's OCIE Has New Chief Risk and Strategy Officer

May 15, 2018

Compliance Concepts

Municipal Advisors Weak on Regulatory Obligations - SEC

November 14, 2017

People

SEC Names New Director of OCIE

October 26, 2017

Compliance Concepts

OCIE Issues Risk Alert on RIA Advertising

September 20, 2017

People

Head of Investment Adviser/Investment Company Exams to Leave SEC

September 18, 2017

Regulators

Chairman Clayton Names His Executive Staff

September 5, 2017

Technology/Internet

SEC Observations from Cybersecurity Exams of Brokers, Advisors, Funds

August 11, 2017

People

SEC Chairman Clayton Has New Advisor

July 19, 2017

Regulators

Regulators Headlines, July 12

July 12, 2017

People

People Headlines, 6/22

June 22, 2017

Compliance Concepts

2017 National Compliance Outreach Program for Broker-Dealers

May 3, 2017

Regulators

SEC Opens Registration for RIA/RIC Compliance Outreach Programs

March 24, 2017

Compliance Concepts

SEC Issues RIA Risk Alert: Five Most Frequent Compliance Topics in SEC Exams

February 9, 2017

People

SEC Exodus: OCIE Director Marc Wyatt is Leaving

January 30, 2017

Regulators

SEC's Examination Priorities for 2017

January 12, 2017

Regulators

SEC’s OCIE Launches RIA Multi-Branch Exams

January 4, 2017

Regulatory Sanctions

Moloney Securities Flagged for Repeat Principal Transactions and Best Ex Violations - SEC

September 30, 2016