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
33-7419; 34-38581 Expansion of Short-Form Registration to Include Companies with Non-voting Common Equity. 06/07/1997
33-7418 Definition of 'prepared by or on behalf of the issuer' for purposes of determining if an offering document is subject to state regulation. 05/06/1997
33-7373 Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T with regard to the appropriate place for filing for registrants in the regions covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices. 05/05/1997
33-7390 Revision of Holding Period Requirements in Rules 144 and 145 04/21/1997
33-7386; 34-38223; IC-22487; FR-48 DISCLOSURE OF ACCOUNTING POLICIES FOR DERIVATIVE FINANCIAL INSTRUMENTS AND DERIVATIVE COMMODITY INSTRUMENTS AND DISCLOSURE OF QUANTITATIVE AND QUALITATIVE INFORMATION ABOUT MARKET RISK INHERENT IN DERIVATIVE FINANCIAL INSTRUMENTS, OTHER FINANCIAL INSTRUMENTS, AND DERIVATIVE COMMODITY INSTRUMENTS 04/01/1997
33-7407; 34-38446; 35-26695; 39-2349; IC-22587; IA- Informal Guidance Program for Small Entities 03/29/1997
33-7408; 34-38447; 35-26696; 39-2350; IC-22588; IA- Penalty-Reduction Policy for Small Entities 03/29/1997
33-7411; 34-38465; 35-26699; 39-2351; IC-22595 Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation 03/10/1997
33-7405; 34-38419; 35-26688; 39-2348; IC-22571 Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation 03/10/1997
33-7394; 34-38319; 35-26672; 39-2346; IC-22522 Adoption of Updated EDGAR Filer Manual 03/10/1997
33-7400; 34-38363; IC-22540 Anti-manipulation Rules Concerning Securities Offerings; Corrections 03/04/1997
33-7361; 34-37912; IC-22310; IA-1596 Adjustments to Civil Monetary Penalty Amounts 12/01/1996
33-7355; 34-37802 STREAMLINING DISCLOSURE REQUIREMENTS RELATING TO SIGNIFICANT BUSINESS ACQUISITIONS 11/09/1996
33-7351; 34-37774; 35-26585; 39-2343; IC-22257 Adoption of Updated EDGAR Filer Manual 10/07/1996
33-7331; 34-37692; 35-26575; IC-22224; IA-1578 Changes selected rules in order to eliminate fees previously adopted by the Commission pursuant to the Independent Offices Appropriations Act of 1952. 10/07/1996
33-7300; 34-37262 Phase One Recommendations of Task Force on Disclosure Simplification 06/30/1996
33-7289, 34-37183, IC-21946; Use of Electronic Media for Delivery Purposes 06/08/1996
33-7320; IC-22135 Revisions to Rules Regulating Money Market Funds 06/03/1996
33-7275; IC-21837 Revisions to Rules Regulating Money Market Funds 06/03/1996
33-7285 Exemption for Certain California Limited Issues 05/31/1996
33-7241; 34-36479; 35-26407; IC-21500 Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments 12/18/1995
33-7197; IC-21221; FR-46 Payment for Investment Company Services with Brokerage Commissions 09/01/1995
33-7168; 34-35705; IC-21061 PROSPECTUS DELIVERY; SECURITIES TRANSACTIONS SETTLEMENT 06/07/1995
33-7143, IC-20915 Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master-Feeder Funds; Class Voting on Distribution Plans 03/25/1995
33-7132 ADOPTION OF AMENDMENTS TO CLARIFY SAFE HARBORS FOR BROKER-DEALER RESEARCH REPORTS 02/01/1995
33-7122; 34-35113; 35-26191; 39-2326; IC-20783; Rulemaking for EDGAR System. 01/30/1995
33-7119; 34-35095; FR 45 RECONCILIATION OF THE ACCOUNTING BY FOREIGN PRIVATE ISSUERS FOR BUSINESS COMBINATIONS 12/13/1994
33-7117; 34-35093; SELECTION OF REPORTING CURRENCY FOR FINANCIAL STATEMENTS OF FOREIGN PRIVATE ISSUERS AND RECONCILIATION TO U.S. GAAP FOR FOREIGN PRIVATE ISSUERS WITH OPERATIONS IN A HYPERINFLATIONARY ECONOMY. 12/13/1994
33-7118; 34-35094; IC-20766; FR44 FINANCIAL STATEMENTS OF SIGNIFICANT FOREIGN EQUITY INVESTEES AND ACQUIRED FOREIGN BUSINESSES OF DOMESTIC ISSUERS AND FINANCIAL SCHEDULES 12/13/1994
33-7102; 34-34832; IC-20614 Amendments to Proxy Rules for Registered Investment Companies 11/23/1994
33-7072; 34-34330; 35-26079; IC-20388 Rulemaking for EDGAR System 09/01/1994
33-6996; 34-32231 Additional Small Business Initiatives 06/03/1993
33-6949; 34-30968; 39-2287; FR-39] Small Business Initiatives 08/13/1992
33-4552 Nonpublic Offering Exemption 11/06/1962
34-43985 Delegation of Authority to the Director of the Division of Market Regulation
33-7959; IC-24886 Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
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