IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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

 
INVESTMENT COMPANY ACT - FINAL RULE RELEASES
Release No. Title Date
33-10593; 34-84883; IC-33333 Disclosure of Hedging by Employees, Officers and Directors 12/20/2018
33-10577, IC-33308; File Nos. S7-08-15; S7-04-18 Form N-1A; Correction 11/30/2018
33-10532; 34-83875; IC-33203 Disclosure Update and Simplification 08/27/2018
IC-33142 Investment Company Liquidity Disclosure 06/29/2018
33-10506; 34-83380; IC-33115 Optional Internet Availability of Investment Company Shareholder Reports 06/06/2018
33-10486; 34-83097; IC-33077 Amendments to forms and schedules to remove provision of certain personally identifiable information 04/26/2018
IC-33010 Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs 02/22/2018
33–10442; 34–82241; IC–32936 Investment Company Reporting Modernization: Temporary Rule 12/14/2017
33-10233; IC- 32315 Investment Company Liquidity Risk Management Programs 10/17/2016
33-10231; 34-79095; IC-32314 Investment Company Reporting Modernization 10/17/2016
33-10234; IC-32316 Investment Company Swing Pricing 10/17/2016
IC–31828 Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Require 09/25/2015
IC–30847 Removal of Certain References to Credit Ratings 01/08/2014
IC–30845, 33–9503 Securities Exempted: Distribution of Shares 12/30/2013
IC–30268 Purchase of Certain Debt Securities by Business & Development Cos. 11/23/2012
IC-29132 Money Market Fund Reform 03/04/2010
IC-28617 Interactive Data for Mutual Fund Risk/Return Summary 07/15/2009
IC-28584 Enhanced Disclosure and New Prospectus Delivery Option 03/31/2009
IC-28266 Definition of Eligible Portfolio Company under the Investment Company Act of 1940 05/15/2008
IC-27538 Definition of Eligible Portfolio Company under the Investment Company Act of 1940 10/25/2006
IC-26985 Investment Company Governance 06/30/2005
IC-26782 Mutual Fund Redemption Fees 05/23/2005
IC-26591 Prohibition on the Use of Brokerage Commissions to Finance Distribution 10/14/2004
IC-26520 Investment Company Governance 09/07/2004
IC-26486; 33-8433; 34-49909 Disclosure Regarding Approval of IA Contracts by Directors 06/30/2004
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