Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
SPEECHES - SEC
Title Date Speaker
Paredes: Statement upon Departure from the Commission 08/02/2013 Troy A. Paredes
Paredes: Statement by Commissioners Gallagher and Paredes Concerning Commission Adoption of a Final Rule Regarding Assets Being Held by Broker-Dealers 07/31/2013 Troy A. Paredes
Paredes: Statement at Open Meeting Regarding Final Rules Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings; a Final Rule Disqualifying Felons and Other "Bad Actors" from Rule 506 Offerings; and Proposed Rules Amending Regulation D, Form D, and Rule 156 Under the Securities Act 07/10/2013 Troy A. Paredes
Paredes: Statement at the SEC Open Meeting on Money Market Fund Reform 06/05/2013 Troy A. Paredes
Paredes: Statement Congratulating SEC Nominees 05/28/2013 Troy A. Paredes
Paredes: Statement at Open Meeting to Propose Rules Regarding Cross-Border Security-Based Swap Activities 05/01/2013 Troy A. Paredes
Paredes: Remarks at The SEC Speaks in 2013 02/22/2013 Troy A. Paredes
Paredes: Statement concerning publication by IOSCO on January 21, 2012 of the Final Report on "Suitability Requirements with respect to the Distribution of Complex Financial Products." 01/22/2013 Troy A. Paredes
Paredes: Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation 11/15/2012 Troy A. Paredes
Paredes: Statement at Open Meeting to Propose Rule Amendments Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 08/29/2012 Troy A. Paredes
Paredes: Statement on the Regulation of Money Market Funds 08/28/2012 Troy A. Paredes
Paredes: Statement at Open Meeting to Adopt a Final Rule Regarding Conflict Minerals Pursuant to Section 1502 of the Dodd-Frank Act 08/22/2012 Troy A. Paredes
Paredes: Remarks at Society of Corporate Secretaries & Governance Professionals, 66th National Conference on "The Shape of Things to Come" 07/16/2012 Troy A. Paredes
Paredes: Remarks at AICPA Council Spring Meeting 05/18/2012 Troy A. Paredes
Paredes: Statement Regarding Commission Approval of MSRB Rule G-17 Interpretive Notice 05/14/2012 Troy A. Paredes
Paredes: Defining Swaps-Related Terms 04/18/2012 Troy A. Paredes
Paredes: Remarks at “The SEC Speaks in 2012” 02/24/2012 Troy A. Paredes
Paredes: Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law 11/29/2011 Troy A. Paredes
Paredes: Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation 11/17/2011 Troy A. Paredes
Paredes: Statement at Open Meeting to Adopt Form PF 10/26/2011 Troy A. Paredes
Paredes: Statement at Open Meeting to Propose Rules Regarding Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds (the "Volcker Rule") 10/12/2011 Troy A. Paredes
Paredes: Statement at Open Meeting to Propose Rules Regarding Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 10/12/2011 Troy A. Paredes
Paredes: Statement at Open Meeting to Propose Rule Amendments to Prohibit Conflicts of Interest in Certain Securitizations 09/19/2011 Troy A. Paredes
Paredes: Statement at Open Meeting to Adopt a Final Rule Regarding Security Ratings for Forms S-3 and F-3 Eligibility 07/26/2011 Troy A. Paredes
Paredes: Statement at Open Meeting to Propose Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 06/29/2011 Troy A. Paredes
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