Monthly Archives: November 2016

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

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On 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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Filed under Investment Advisers, SEC, Securities and Exchange Commission