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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

  • Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission January 30, 2023
  • Prohibition Against Conflicts of Interest in Certain Securitizations January 25, 2023
  • Regulation Best Execution December 14, 2022
  • Order Competition Rule December 14, 2022
  • Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders December 14, 2022
  • Disclosure of Order Execution Information December 14, 2022
  • Reopening of Comment Period for Share Repurchase Disclosure Modernization December 7, 2022
  • Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT November 2, 2022
  • Outsourcing by Investment Advisers October 26, 2022
  • Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments October 7, 2022

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