Reportable Event News Today

On December 14, 2021, the Office of Inspector General (OIG) posted an update to the Corporate Integrity Agreements FAQ on whether an entity that is subject to a Corporate Integrity Agreement (CIA)

Thursday, January 14, 2021 On December 16, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE,” since reorganized as a separate division of the SEC, i.e., the Division of Examinations [“DivEx”]) issued a Risk Alert entitled “Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations.” My December 8, 2020, blog post, “Meeting Specified Standards: the SEC’s OC...