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 - FINAL RULE RELEASES
Release No. Title Date
33–10556 Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence 09/21/2018
33-10450 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants 01/08/2018
33-10428 Covered Securities Pursuant to Section 18 of the Securities Act 10/27/2017
33-10305; 34-80023; 39-2515 Exemptions for Security-Based Swaps 02/10/2017
33-9974A; 34-76324A Crowdfunding; Correction (adding effective date) 02/03/2016
33-9974; 34-76324 Crowdfunding Final Rule 11/02/2015
33-9877; 34-75610 Pay Ratio Disclosure 08/05/2015
33-9741; 34-74578; 39-2501 Amendments to Regulation A 03/26/2015
33-9638 Asset-Backed Securities Disclosure and Registration 09/18/2014
33-9414 Final 'Bad Actors' Rule 07/10/2013
33-9383, 34-68753; 39-2489 Security-Based Swaps Extention 02/04/2013
33-9338, 34-67453; SEC Swap Definitions 07/18/2012
33–9308; 34–66703; 39–2484 Exemptions for Security-Based Swaps issued by Certain Clearing Agencies 04/05/2012
33–9245; 34–64975 Security Ratings 08/03/2011
33-9231, 34-64794; 39-2475 Exemptions for Security-Based Swaps 07/11/2011
33–9176, 34–63742 Issuer Review of Assets in Offerings of Asset-Backed Securities 01/25/2011
33-9089A; 34-61175A; IC-29092A Proxy Disclosure Enhancements — Correction 03/01/2010
33-9089 Proxy Disclosure Enhancements 02/28/2010
33-9108, 34-61560; IC-29131; Amendments to Rules Requiring Internet Availability of Proxy Materials 02/26/2010
33-8961, 34-58656 Technical Amendment to Item 407 of Regulation S-K 09/26/2008
33-8959, 34-58620; INTERNATIONAL SERIES RELEASE NO. 1310 Foreign Issuer Reporting Enhancements 09/23/2008
33-8956; 34-58584; 39-2458; IC-28381 Adoption of Updated EDGAR Filer Manual 09/18/2008
33-8934, 34-58028 Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers 06/26/2008
33-8926; 34-57914; 39-2456; IC-28296 Adoption of Updated EDGAR Filer Manual 06/04/2008
33-8922; 34-57888; 39-2454; IC-28292 Adoption of Updated EDGAR Filer Manual 05/30/2008
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