Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 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
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
33-9973; 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
33-8813 REVISIONS TO RULE 144 AND RULE 145 TO SHORTEN HOLDING PERIOD FOR AFFILIATES AND NON-AFFILIATES 06/22/2007
33-8811; 34-55930 Definition of a Significant Deficiency 06/20/2007
33-8812 REVISIONS TO THE ELIGIBILITY REQUIREMENTS FOR PRIMARY SECURITIES OFFERINGS ON FORMS S-3 AND F-3 06/20/2007
33-8754 COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ACT OF 1933 11/16/2006
33-8655 EXECUTIVE COMPENSATION AND RELATED PARTY DISCLOSURE 01/27/2006
33-8347; 34-48939; IC-26298 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL FUNDS 02/13/2004
33-7550 OPTIONS DISCLOSURE DOCUMENT 07/31/1998
33-7399; IC-22529 Proposed New Disclosure Option for Open-End Management Investment Companies 02/27/1997
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