Wednesday January 18, 2017

Recent News

OCIE Announces Examination Priorities for 2017

The SEC’s Office of Compliance Inspections and Examinations this year will focus on areas of importance to retail investors, risks affecting elderly and retiring investors, and the assessment of

SEC Extends No-Action Relief for Broker-Dealers Relying on Investment Advisers Under Customer Identification Program

The SEC’s Division of Trading and Markets has granted SIFMA’s request to extend its no-action position that is currently in effect with respect to the reliance provisions of the customer

In Washington, D.C.
1225 15th Street NW
Washington, DC 20005
Tel: 202.797.0762

In Denver, CO
44 Cook Street, Suite 1000
Denver, CO 80206
Tel: 303.398.7088