Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST

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

Date File No. Description Author
10/01/2008 4-572 Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a 'shell company' or former 'shell company' from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases 'Form 10 information' David N. Feldman
09/23/2008 4-570 Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification Christopher Ailman
09/22/2008 4-554 Additional letter
08/01/2008 4-565 Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products Donald L. Horowitz
07/21/2008 4-563 Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues Steven J. Milloy
07/15/2008 4-562 Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract John C. Nagel
06/12/2008 4-547 Supplemental petition (4-547)
05/14/2008 4-571 Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed William S. Karn
05/12/2008 4-558 Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm Multiple Petitioners
04/03/2008 4-557 Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3 Thomas Vallarino
02/11/2008 4-541 Petition 4-541 Supplement Daniel R. Solin
01/25/2008 Petition 4-555
01/16/2008 Petition 4-554- Rulemaking Petition
12/19/2007 Petition 4-553- Jackson National Life Insurance Company Petition for Rulemaking
10/22/2007 Petition 4-549- Petition for Interpretive Guidance on Business Risk of Global Warming Regulation
10/19/2007 Petition 4-550
09/25/2007 Petition 4-548- Petition for Rulemaking
07/09/2007 Petition for Rulemaking - Request for defining the 80% investment rule stated in Rule 35d-l as 'fundamental' policy only alterable by shareholder vote
06/18/2007 Request for rulemaking pursuant to Rule 192(a), SEC Rules of Practice.
06/13/2007 Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions
05/24/2007 Petition 4-540: Request to Amend 'Pattern Day Trader' Rule
03/28/2007 Request for Interpretive Guidance on Implementation of FASB Interpretation No. 48 by U.S. Registered Investment Companies and Withdrawal of Petition for Rulemaking
02/10/2007 Request for rulemaking relating to brokerage commission disclosure, transparency and the January 17, 2007 SEC Goldman Sachs “No Action” letter.
01/08/2007 S7-10-04 Regulation NMS - File No. S7-10-04
12/28/2006 Petition for Rulemaking - Funds of Funds Disclosure and Unregistered Investment Vehicles
08/30/2006 Re: Request for Rulemaking to Provide American Depository Receipt Owners With Certain Traditional Shareowner Rights When Foreign Corporations Advocate On Significant U.S. Social Policy Issues Or Have Significant U.S. Social Impacts
06/08/2006 Request for Rulemaking from General Public
04/24/2006 Petition for Commission Action to Protect the Investing Public from Unlawful and Deceptive Securities Promotions
02/28/2006 Petition to Amend Rule 146(b) to Designate Securities Listed on the Nasdaq Capital Market as Covered Securities for the Purpose of Section 18 of the Securities Act of 1933
01/20/2006 Request for Extension of Compliance Dates for Rule 202(a)(11)-1(b)(2) (S7-25-99)
01/13/2006 Rule 202(a)(11)-1 Under the Investment Advisors Act of 1940 (File No. S7–25–99)
01/10/2006 Rule 202(a)(11)-1 (S7-25-99)