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

Ideas to Infuse your Firm’s Culture with a Heightened
Sense of Ethics

Oct. 15, 2019 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
SECURITIES ACT - FINAL RULE RELEASES
Release No. Title Date
33-7943 Integration of Abandoned Offerings 03/07/2001
33-7932A; 34-43786A; IC-24816A Role of Independent Directors of Investment Companies 03/05/2001
33-7919; 34-43602; 35-27279; IC-24744; IA-1911; FR-56 Revision of the Commission's Auditor Independence Requirements 02/05/2001
33-7946; 34-43897; IA-1921; IC-24846 Adjustments to Civil Monetary Penalty Amounts 02/02/2001
33-7933; 34-43843; 35-27338; 39-2388; IC-24827 Adoption of Updated EDGAR Filer Manual 01/16/2001
33-7912, 34-43487, IC-24715 DELIVERY OF PROXY STATEMENTS AND INFORMATION STATEMENTS TO HOUSEHOLDS 12/04/2000
33-7881, 34-43154, IC-24599 Selective Disclosure and Insider Trading 10/23/2000
33-7877; IC-24582 Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies 10/01/2000
33-7878; 34-43124 Financial Statements and Periodic Reports For Related Issuers and Guarantors 09/04/2000
33-7867; 34-42942; 35-27185; 39-2386; IC-24498 Adoption of Updated EDGAR Filer Manual 06/23/2000
33-7860, 34-42905, IC-24491 Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts Rule 06/23/2000
33-7858; 34-42789; 35-27177; 39-2385; IC-24455 Adoption of Updated EDGAR Filer Manual 05/30/2000
33-7855; 34-42712; 35-27172; 39-2384; IC-24400 Rulemaking for EDGAR System 05/30/2000
33-7759, 34-42054; 39-2378 Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings 01/24/2000
33-7760; 34-42055; IC-24107 Regulation of Takeovers and Security Holder Communications 01/24/2000
33-7728, IC-23958, IA-1815; Personal Investment Activities of Investment Company Personnel 10/29/1999
33-7685; 34-41411; 35-27026; 39-2373; IC-23844 Adoption of Updated EDGAR Filer Manual 06/28/1999
33-7684; 34-41410; IC-23843 Rulemaking for EDGAR System 06/28/1999
33-7645 Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements 04/07/1999
33-7646, 34-41109 REGISTRATION OF SECURITIES ON FORM S-8 04/07/1999
33-7644 Revision of Rule 504 of Regulation D, the 'Seed Capital' Exemption 03/27/1999
33-7620; 34-40884; FR54 Segment Reporting 01/05/1999
33-7512; 34-39748; IC-23064 Registration Form Used by Open-End Management Investment Companies 12/01/1998
33-7593; 34-40567; 35-26929; 39-2369; IA-1771; IC-23489 Amendment to Rule 102(e) of the Commission's Rules of Practice 11/25/1998
33-7608; IC-23522 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment 11/10/1998
33-7497; 34-39593; IC-23011 Plain English Disclosure 10/01/1998
33-7548, 34-40122, IC-23272, IA-1727 Definitions of 'Small Business' or 'Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933. 07/24/1998
Text of sample Form N-1A added, 03-23-98 06/01/1998
33-7513; IC-23065 New Disclosure Option for Open-End Management Investment Companies 06/01/1998
33-7479; IC-22921 Technical Revisions to the Rules and Forms Regulating Money Market Funds 02/10/1998
33-7494, 34-39542 Covered securities pursuant to Section 18 of the Securities Act of 1933. 01/02/1998
33-7472; 34-39269] Rule to provide that the Commission will not accept paper filings that are required to be filed electronically 01/01/1998
33-7478; IC-22920 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities 12/02/1997
33-7470; 34-39227 Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore 11/09/1997
33-7448, IC-22815 Registration under the Securities Act of 1933 of Certain Investment Company Securities 10/11/1997
33-7445 Amendment of rules governing the delegation of authority to Regional Directors and the Director of the Division of Corporation Finance 09/03/1997
33-7431; 34-38850 Phase Two Recommendations of Task Force on Disclosure Simplification 09/02/1997
33-7432; 34-38883; 35-26747; 39-2356; IC-22769 Adoption of Updated EDGAR Filer Manual 08/25/1997
33-7427; 34-38798; 39-2355; IC-22730 Rulemaking for the EDGAR System 07/31/1997
33-7424; 34-38771; 35-26733; 39-2354; IC-22727 Amendments to forms and schedules to remove voluntary provision of Social Security numbers 07/01/1997
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