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November 2016 Archives

SEC Risk Alert: OCIE Examines Registrants’ Compliance with Whistleblower Rule

JLG Blog Pull Quote Graphic_11.16.16.jpgOn October 24, 2016, citing a recent increase in SEC enforcement actions pertaining to Rule 21F-17 of the Securities Exchange Act of 1934 (“Exchange Act”), the SEC issued a National Exam Program Risk Alert regarding examinations of investment advisers’ and broker-dealers’ compliance with the Whistleblower Rule.
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San Diego Office
1350 Columbia Street
Suite 300
San Diego, CA 92101

Toll Free: 866-497-2298
Phone: 213-631-2549
Phone: 619-298-2880
Fax: 619-298-2882
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Four Embarcadero Center
Suite 1400
San Francisco, CA 94111

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