Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 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 - PROPOSED RULES
Release No. Title Date
33-10619; 34-85382; IC-33427 Securities Offering Reform for Closed-End Investment Companies 03/21/2019
33-10607 Solicitations of Interest Prior to a Registered Public Offering 02/28/2019
33-10607 Solicitations of Interest Prior to a Registered Public Offering 02/20/2019
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
33-8933, 34-58022 INDEXED ANNUITIES AND CERTAIN OTHER INSURANCE CONTRACTS 06/25/2008
33-8929; 34-57942; 39-2457; IC-28298 Interactive Data For Mutual Fund Risk/Return Summary 06/10/2008
33-8917; 34-57781 REVISIONS TO THE CROSS-BORDER TENDER OFFER, EXCHANGE OFFER, AND BUSINESS COMBINATION RULES AND BENEFICIAL OWNERSHIP REPORTING RULES FOR CERTAIN FOREIGN INSTITUTIONS 05/06/2008
33-8900; 34-57409; INTERNATIONAL SERIES RELEASE NO. 1308 FOREIGN ISSUER REPORTING ENHANCEMENTS 02/29/2008
33-8889; 34-57258 INTERNAL CONTROL OVER FINANCIAL REPORTING IN EXCHANGE ACT PERIODIC REPORTS OF NON-ACCELERATED FILERS 02/01/2008
33-8871 REVISIONS TO FORM S-11 TO PERMIT HISTORICAL INCORPORATION BY REFERENCE 12/14/2007
33-8861; IC-28064 ENHANCED DISCLOSURE AND NEW PROSPECTUS DELIVERY OPTION FOR REGISTERED OPEN-END MANAGEMENT INVESTMENT COMPANIES 11/21/2007
33-8859; 34-56732; IC-28042 Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E 11/01/2007
33-8828; IC-27922 Revisions of Limited Offering Exemptions in Regulation D 08/03/2007
33-8819; 34-56013; 39-2447 Smaller Reporting Company Regulatory Relief and Simplification 07/05/2007
33-8818; 34-55998; INTERNATIONAL SERIES RELEASE NO. 1302 ACCEPTANCE FROM FOREIGN PRIVATE ISSUERS OF FINANCIAL STATEMENTS PREPARED IN ACCORDANCE WITH INTERNATIONAL FINANCIAL REPORTING STANDARDS WITHOUT RECONCILIATION TO U.S. GAAP 07/02/2007
33-8814; 34-55980; 39-2446; IC-27878 ELECTRONIC FILING AND SIMPLIFICATION OF FORM D 06/29/2007
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