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

 
SECURITIES ACT - RULES & REGULATIONS
Title
Rule 100 -- Definition of Terms Used in the Rules and Regulations
Rule 110 -- Business Hours of the Commission
Rule 111 -- Payment of Fees
Rule 120 -- Inspection of Registration Statements
Rule 122 -- Non-Disclosure of Information Obtained in the Course of Examinations and Investigations
Rule 130 -- Definition of 'Rules and Regulations' as Used in Certain Sections of the Act
Rule 131 -- Definition of Security Issued Under Governmental Obligations
Rule 132 -- Definition of 'Common Trust Fund' as Used in Section 3(a)(2) of the Act
Rule 133 -- Definition for purposes of section 5 of the Act, of "sale", "offer", "offer to sell", and "offer for sale"
Rule 134 -- Communications Not Deemed a Prospectus
Rule 134a -- Options Material Not Deemed a Prospectus
Rule 134b -- Statements of Additional Information
Rule 135 -- Notice of Proposed Registered Offerings
Rule 135a -- Generic Advertising
Rule 135b -- Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus
Rule 135c -- Notice of Certain Proposed Unregistered Offerings
Rule 135d -- Communications involving security-based swaps
Rule 135e -- Offshore Press Conferences, Meetings with Issuer Representatives Conducted Offshore, and Press-Related Materials Released Offshore
Rule 136 -- Definition of Certain Terms in Relation to Assessable Stock
Rule 137 -- Publications or Distributions of Research Reports by Brokers or Dealers That Are Not Participating In an Issuer's Registered Distribution of Securities
Rule 138 -- Publications or Distributions of Research Reports By Brokers or Dealers About Securities Other Than Those They are Distributing
Rule 139 -- Publications or Distributions of Research Reports By Brokers or Dealers Distributing Securities
Rule 139a -- Publications by Brokers or Dealers Distributing Asset-Backed Securities
Rule 140 -- Definition of 'Distribution' in Section 2(a)(11), for Certain Transactions
Rule 141 -- Definition of 'Commission from an Underwriter or Dealer Not in Excess of the Usual and Customary Distributors' or Sellers' Commissions' in Section 2(a)(11), for Certain Transactions
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