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 - PROPOSED RULES
Release No. Title Date
BHCA–3 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 09/11/2018
33-10526; 34-83701 Financial disclosures about guarantors and issuers of guaranteed securities and affiliates whose securities collateralize a registrant’s securities 07/25/2018
33-10503; 34-83376; IC-33113 Request for Comment on Fund Retail Investor Experience and Disclosure 06/05/2018
33-10425; 34-81851; IA-4791; IC-32858 FAST Act Modernization and Simplification of Regulation S-K 10/12/2017
33-10323; 34-80133; IC-32518 Inline XBRL Filing of Tagged Data 03/01/2017
33–10110; 34–78310; IC-32175 Disclosure Update and Simplification 08/04/2016
33-10110; 34-78310; IC-32175 Disclosure Update and Simplification 07/13/2016
33-10107; 34-78168 Amendments to Smaller Reporting Company Definition 06/27/2016
33-9973; 34-76319 Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings 11/02/2015
33-9861; 34-75342; IC-31702 Listing Standards for Recovery of Erroneously Awarded Compensation 07/02/2015
33-9723; 34-74232; IC-31450 Disclosure of Hedging by Employees, Officers and Directors 02/09/2015
33-9693; 34-73876 Exchange changes to registration due to JOBS Act 12/22/2014
33-9643 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants 09/15/2014
33-9497 Amendments for Small and Additional Issues Exemptions 12/18/2013
33-9470 Crowdfunding 10/23/2013
33-9354 Eliminating the General Solicitation Provision 08/30/2012
33-9211 Disqualification of Felons and Other 'Bad Actors” 06/01/2011
33-9204 Product Definitions in Dodd Frank Consumer Protection Act 05/03/2011
33-9150 Issuer Review of Assets in Offerings of Asset-Backed Securities 10/19/2010
9148 Disclosure for Asset-Backed Securities 10/13/2010
33-9052 Proxy Disclosure and Solicitation Enhancements 07/17/2009
33-8976, 34-58769 Indexed Annuities and Certain Other Insurance Contracts 10/10/2008
33-8949, IC-28346 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 07/31/2008
33-8940; 34-58071 Security Ratings 07/01/2008
33-8935, 34-58030 Modernization of the Oil and Gas Reporting Requirements 06/26/2008
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