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The SEC Speaks in 2013
Chair(s):
Craig Lewis, Carlo V. di Florio
Practice Area:
Enforcement (Securities and other financial products),
Securities and other financial products
Published:
Feb 2013
i
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ISBN:
9781402419478
PLI Item #:
41944
CHB Spine #:
B2006
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2012
Chapter 2. Outline: SEC Speaks 2013, Division of Trading and Markets
Chapter 3. Outline: Selected SEC Enforcement Actions, December 2012
Chapter 4. Outline: Division of Investment Management
Chapter 5. Speech: Conflicts of Interest and Risk Governance, by Carlo v. Di Florio, Director, Office of Compliance Inspections and Examinations, National Society of Compliance Professionals, October 22, 2012
Chapter 6. Letter to Senior Executive or Principal of a Newly Registered Investment Adviser Dated October 9, 2012
Chapter 7. Staff Summary Report on Examinations of Information Barriers: Broker-Dealer Practices Under Section 15(G) of the Securities Exchange Act of 1934, by the Staff of the Office of Compliance Inspections and Examinations, United States Securities and Exchange
Chapter 8. National Examination Risk Alert, by the Office of Compliance Inspections and Examinations, Volume II, Issue 4, August 31, 2012, “Pay-To-Play” Prohibitions for Brokers, Dealers and Municipal Securities Dealers Under Msrb Rules
Chapter 9. Anti-Money Laundering (AML) Source Tool for Mutual Funds, July 2, 2012
Chapter 10. Anti-Money Laundering (AML) Source Tool for Broker-Dealers, June 20, 2012
Chapter 11. National Examination Risk Alert, by the Office of Compliance Inspections and Examinations, Volume II, Issue 3, March 19, 2012, Strengthening Practices for the Underwriting of Municipal Securities
Chapter 12. National Examination Risk Alert, by the Office of Compliance Inspections and Examinations, Volume II, Issue 2, February 27, 2012, Strengthening Practices for Presenting and Detecting Unauthorized Trading and Similar Activities
Chapter 13. Work Plan for the Consideration of Incorporating International Financial Reporting Standards into the Financial Reporting System for U.S. Issuers, Final Staff Report, July 13, 2012, Office of the Chief Accountant, United States Securities and Exchange Com
Chapter 14. The Expanded Role of Economists in SEC Rulemaking, Speech at Sifma Compliance & Legal Society Luncheon, by Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, U.S. Securities & Exchange Commission, October 1
Chapter 15. Memorandum to Staff of the Rulewriting Divisions and Offices From RSFI And OGC Dated March 16, 2012 Re: Current Guidance on Economic Analysis in SEC Rulemakings
Chapter 16. 2012 In Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission, December 7, 2012
Chapter 17. Recent Significant Judicial Developments, Securities and Exchange Commission, Office of the General Counsel, December 12, 2012
Chapter 18. In the Matter of William J. Reilly, ESQ., SEC Release No. 60890/October 27, 2009, Administrative Proceeding, File No. 3-13666, Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and
Chapter 19. In the Matter of William J. Reilly, ESQ., SEC Release No. 68374/December 6, 2012, Administrative Proceeding, File No. 3-15126, Order Instituting Administrative Proceedings Pursuant to Section 4C of The Securities Exchange Act of 1934 and Rule 102(e) of th
Chapter 20. In the Matter of David M. Tamman, ESQ., SEC Release No. 63785/January 27, 2011, Administrative Proceeding, File No. 3-14207, Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the
Chapter 21. In the Matter of David M. Tamman, ESQ., SEC Administrative Proceeding File No. 3-14207, November 29, 2012, Order Following Prehearing Conference Lifting Stay and Granting Leave to File Summary Disposition Motion
Chapter 22. Press Release No. 12-159, Former Law Firm Partner Convicted of Obstructing SEC Investigation, November 13, 2012
Chapter 23. In the Matter of Mitchell Segal, ESQ., SEC Release No. 67393/July 10, 2012, Administrative Proceeding, File No. 3-14945, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s R
Chapter 24. SEC v. Reilly, No. 9:11-CV-81322-DMM, (S.D. FLA. Apr. 16, 2012), Order Granting Motion for Default Judgment and Closing Case
Chapter 25. Outline: Office of International Affairs
Chapter 26. 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization, as Required by Section 15E(p)(3)(C) of the Securities Exchange Act of 1934, November 2012
Chapter 27. Dear DCO Letter Dated November 15, 2012
Chapter 28. Annual Report on Nationally Recognized Statistical Rating Organizations, As Required by Section 6 of the Credit Rating Agency Reform Act of 2006, December 2012
Chapter 29. Office of Municipal Securities Update for SEC Speaks 2013
Index
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