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After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.
May 24 -
Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.
March 3 -
Analysts were permitted to adjust key stresses in the model used in determining commercial mortgage-backed securities ratings, according to the regulator.
February 17 -
President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.
January 21 -
Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.
January 15 -
Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.
December 30 -
Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.
December 24 -
The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.
November 13 -
OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.
November 12 -
With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.
November 10PIABA