A Compilation Of Enforcement And Non-Enforcement Actions - May 2008.
Mondaq Business Briefing › Nbr. 2008, March 2008
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A Compilation Of Enforcement And Non-Enforcement Actions - May 2008.
Non-Enforcement Matters
SEC Director Describes Examination Focus During a recent conference in Washington, D.C., Lori Richards, Director of the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (SEC) described the top 10 focus areas of current SEC examinations, which are described below. In addition, Associate Director Gene Gohlke of the same office recently reported that approximately 11,000 investment adviser firms are currently registered with the SEC. In 2007, approximately 1,400 exams of such firms were conducted. SEC ...See the full content of this document
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