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PUBLICATIONS:

06/15/2017 [Washington D.C. Compliance Round Table]
SEC EXAMINATIONS PRIORITIES 2017
11/01/2016 [Investment Adviser Association Newsletter]
RISK FOCUSED: THIRD-PARTY REVIEWS AS PART OF AN EFFECTIVE RISK MANAGEMENT PROGRAM
08/13/2015 [Bank Insurance & Securities Association OneSource]
RISK ASSESSMENT IN SECURITIES AND BANKING INDUSTRIES UNDER SEC RULE 17-H

WEBINARS:

09/11/2017 [Washington D.C. Compliance Round Table]
FORM ADV AND RECORDKEEPING RULE AMENDMENTS
01/12/2017 [NSCP]
SEC RULE 17-H RISK ASSESSMENT AND RECORDKEEPING REQUIREMENT
08/21/2014 [NCS Regulatory Compliance]
SEC RULE 17-H: EVERYTHING YOU NEED TO KNOW ABOUT THE SEC’s BEST KEPT SECRET

CONFERENCES:

07/27/2017 [SEC]
SEC/FINRA NATIONAL COMPLIANCE OUTREACH PROGRAM FOR BROKER-DEALERS
05/16/2017 [FINRA]
FINRA ANNUAL CONFERENCE [‘Compliance is an Asset’ Video]
SEC RULE 17-H DISCUSSION AT FINRA’S ANNUAL CONFERENCE [Washington, D.C.]
04/06/2017 [NYSSCPA Stock Brokerage Committee]
SEC RULE 17-H RISK ASSESSMENT AND RECORDKEEPING REQUIREMENT
02/08/2017 [Crowell & Moring]
SEC RISK ASSESSMENT AND RECORDKEEPING REQUIREMENTS
05/17/2016 [NSCP Spring Conference in NYC]
ETHICS – FLYING HIGH ON THE TRAPEZE

RSS SEC

  • Proposed rule: Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge August 10, 2022
  • Proposed rule, withdrawal of proposed rules: Clearing Agency Governance and Conflicts of Interest August 8, 2022
  • Proposed rule: Exemption for Certain Exchange Members July 29, 2022
  • Proposed rule: Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 July 13, 2022
  • Proposed rule: Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation June 8, 2022
  • Proposed rule: Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies May 25, 2022
  • Investment Company Names May 25, 2022
  • Proposed rule; extension of comment period: The Enhancement and Standardization of Climate-Related Disclosures for Investors May 9, 2022
  • Reopening of Comment Periods for “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” and “Amendments Regarding the Definition of ‘Exchange’ and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities” May 9, 2022
  • Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities April 6, 2022

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