Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
REGULATORY RELEASES - INTERPRETIVE RELEASES
Effective Date Display Date Title Compliance Date
05/13/2015 Forward Contracts With Embedded Volumetric Optionality
06/27/2007 Commission Guidance Regarding Management’s Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 06/27/2007
07/24/2006 01/24/2007 Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 07/24/2006
04/07/2005 Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations 04/07/2005
05/29/2003 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 05/29/2003
05/12/2003 Electronic Storage of Broker-Dealer Records 05/12/2003
06/27/2002 Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules thereunder to Trading in Security Futures Products 06/27/2002
12/27/2001 Commission Guidance on the Scope of Section 28(e) of the Exchange Act 12/27/2001
06/14/2001 Application of the Electronic Signatures in Global and National Commerce Act to Record Retention Requirements Pertaining to Issuers under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T 06/14/2001
05/01/2001 Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with Respect to Rule 17a-4(f) 05/01/2001
05/04/2000 Use of Electronic Media 05/04/2000
05/15/1996 Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information 05/15/1996
04/23/1986 Interpretive Release Concerning the Scope of Section 28(e) of the Securities Exchange Act of 1934 and Related Matters
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