Advocacy Updates

Volcker Rule Proposal Would Open Up Some Banks to Private Equity

A joint proposal to alter the Volcker Rule would open up banks to private equity firms and hedge funds–but would exclude community banks.

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.