SEC’s Focus Shifts in 2015 OCIE Priorities

Michelle ComellaMarket Rules & Responsibilities, Operations

This is the first of a series on financial regulators’ 2015 examination priorities.   The SEC’s priorities focus on three broad topics: 1) protecting retail investors and, in particular, investors saving for retirement; 2) assessing market-wide risks; and 3) identifying and examining potential illegal activity through the use of data analytics.  Ziliak Law Partner Michelle M. Comella and Associate Diona Rogers … Read More