Advocacy Updates

Changes Coming to SEC Staff

The SEC will appoint a new commissioner after Kara Stein left the agency earlier this month and Dan Kahl has been named Deputy Director of the OCIE.

OCIE Publishes Risk Alert Regarding Use of Electronic Communications

The SEC's branch in charge of compliance recently published a warning to remind advisers to comply with rules regarding electronic communications.

OCIE Releases 2019 Examination Priorities

The SEC's compliance wing recently announced its examination priorities for 2019, providing a preview of key areas it intends to focus its resources.

SEC Holds Government-Business Forum on Small Business Capital Formation

The SEC held its annual Government-Business Forum on Small Business Capital Formation at the Ohio State University in Columbus.

Federal Reserve Vice Chairman Provides Annual Testimony to Congress

Federal Reserve Vice Chairman for Supervision Randal Quarles spoke to Congress about regulatory issues currently facing the financial system.