Policy

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.

Middle-Market Public Policy Roundup

SEC Chairman Jay Clayton spoke on middle market topics at the last IAC meeting, the FSOC published its annual report and Congress tries to avoid a shutdown.

Middle-Market Public Policy Roundup

The National Center for the Middle Market hosted the Government-Business Forum, Pres. Trump backed opportunity zones and the Senate raised debt concerns.