IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.

IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL
Conquering Current Compliance Challenges
Mar. 7, 2018 | 2:00 - 2:30 PM EST

FinTech: What It Is and How Its Promise Will Affect You Going Forward
Mar. 27, 2018 | 2:00 - 3:00 PM EST
CLE/CPE Approved 
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Feb. 7, 2018 
 
Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

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
SPEECHES - SEC
Title Date Speaker
SEC Commissioner Kara Stein urges firms to bolster their cybersecurity efforts 02/13/2018 Kara M. Stein
SEC Chairman Jay Clayton gives insight into how Commission will deal with remaining Dodd-Frank commitments 01/22/2018 Jay Clayton
SEC-NYU Dialogue on Securities Market Regulation Concluding Remarks 01/19/2018 Kara M. Stein
SEC Chairman Jay Clayton talks shareholder engagement 01/19/2018 Jay Clayton
SEC Chairman Jay Clayton makes remarks at swearing In of Commissioners Hester Peirce and Robert Jackson, Jr. 01/16/2018 Jay Clayton
SEC Commissioner Kara Stein discusses ETFs, disclosure and conflicts 12/07/2017 Kara M. Stein
SEC Chair Jay Clayton praises cooperation among regulators at conference looking at the structure of the U.S. Treasury Market 11/28/2017 Jay Clayton
SEC Chairman Jay Clayton speaks about the importance of transparency at the Commission and in Our Markets 11/08/2017 Jay Clayton
OCIE Director Pete Driscoll commends CCOs and touts how his agency helps them improve IA compliance 09/14/2017 Peter Driscoll
SEC Commissioner Kara Stein on a joint path forward, including cybersecurity 09/13/2017 Kara M. Stein
SEC Commissioner Kara Stein look s at the state of ETFs 09/08/2017 Kara M. Stein
SEC Commissioner Michael Piwowar shares his views on ETFs 09/08/2017 Michael S. Piwowar
SEC Chairman Jay Clayton lays out 8 principles, discusses fiduciary duty rule 07/12/2017 Jay Clayton
SEC Commissioner Kara Stein urges greater transparency 07/11/2017 Kara M. Stein
SEC Acting Director of DERA Scott Bauguess shares an example of use of big data and investment advisers 06/21/2017 Scott W. Bauguess
SEC Investor Advocate exams the falling demand for IPOs 06/21/2017 Rick A. Fleming
SEC Acting DERA Director Scott Bauguess talks about risk 06/20/2017 Scott W. Bauguess
SEC Commissioner Michael Piwowar hopes to see a reviving U.S. IPO market 05/10/2017 Michael S. Piwowar
SEC Commissioner Kara Stein praises cooperation between the SEC and NASAA 05/09/2017 Kara M. Stein
SEC Commissioner Michael Piwowar talks crowdfunding in front of the NASAA 05/09/2017 Michael S. Piwowar
SEC Commissioner Michael Piwowar looks at current issues and the SEC's role in producing smart regulations 03/27/2017 Michael S. Piwowar
SEC Commissioner Michael Piwowar gives advice ahead of a new special study of the securities markets 03/23/2017 Michael S. Piwowar
SEC Director of Investment Management David Grim reflects on recent new regulations, including for mutual fund advisers 03/14/2017 David Grim
SEC Commissioner Kara Stein welcomes efforts to use data to improve the agency's mission 03/10/2017 Kara M. Stein
SEC Acting Chairman Michael Piwowar recaps recent rule proposals 03/09/2017 Michael S. Piwowar
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