BROWSE BY TOPIC
Stories of Interest
- White House Now Doesn’t Dispute Details of Trump's Call with Army Widow
- Goldman Sachs’ Lloyd Blankfein Just Threw Some Serious Brexit Shade
- Guggenheim Partners ‘Bank Wrecker’ Could Get $100Mn Exit Package
- Proposed Arbitration Rule Change: For Customers Dealing with an Inactive Firm or Associated Person
- This Family Bet It All on Bitcoin
- Clearinghouses Pass CFTC Liquidity Stress Tests
- President Trump Admits He’s Trying to Kill Obamacare. That’s Illegal.
- Trump Plunges Down List of ‘America’s Richest’
- Is Trump’s “Foreclosure King” in Over His Head?
- FBI Arrests NCAA Basketball Coaches and Adidas Rep in Bribery Probe Involving Recruitment
- Equifax CEO Steps Down Amid Hacking Scandal
- Litigation Costs to Rub Salt in RBS Investor Wounds
- RIAs Poised to Land Wirehouse Recruits - Dan Jamieson
- Citibank and U.K. Affiliate to Pay $550K Penalty for Swap Data Reporting Violations - CFTC
- AIG to Restructure into 3 New Units, Marking CEO's First Big Move
- Accounting Firm Deloitte Says It Suffered Cyberattack (subsc reqd)
- Upcoming FINRA Board Meeting and FINRA360 Update
- Elizabeth Warren Lifts Hold on Trump DOJ Antitrust Nominee
- Bigger Mergers Narrow Indy Reps' Options, Alter IBD Channel - Dan Jamieson
- Dentons to Merge with U.K.'s Murray & Spens
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NEWSLETTERS & ALERTS
SEC Opens Registration for RIA/RIC Compliance Outreach Programs
The SEC has opened registration for its compliance outreach program seminars for investment companies and investment advisers. The seminars will be offered in 4 cities and are geared for CCOs and other senior personnel. The programs are jointly sponsored by SEC’s OCIE, Investment Management Division, and Enforcement’s Asset Management Unit.
Here’s the 2017 schedule for these half-day seminars, along with their agenda topics:
- Portland, OR (5/17): Key exam program initiatives, exam procedures and selection process, and recent trends and issues in the Enforcement Division’s Asset Management Unit.
- New York, NY (6/7): Staff exams and observations, and topics of interest to advisers to private funds.
- Boston, MA (6/13): Key exam program initiatives, typical exam process, and topics of interest to advisers to private funds.
- Chicago, IL (6/13): Key exam program initiatives, exam procedures and selection process, common exam deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast.
[Click below link to register; direct questions to: ComplianceOutreach@sec.gov.]