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The SEC Speaks in 2017
David W. Grim, Marc Wyatt
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2016
Chapter 2. Investment Management Compendium (January 1, 2016–December 1, 2016)
Chapter 3. Outline of Selected SEC Enforcement Actions, Division of Enforcement (October 2016)
Chapter 4. National Exam Program Risk Alert, by the Office of Compliance Inspections and Examinations, Volume VI, Issue 2, December 12, 2016, Multi-Branch Adviser Initiative
Chapter 5. Outline: SEC Speaks 2017, Division of Trading and Markets
Chapter 6. Memorandum to Staff of the Rulewriting Divisions and Offices from RSFI and OGC, Current Guidance on Economic Analysis in SEC Rulemakings (March 16, 2012)
Chapter 7. SEC White Paper, Regulation A+: What Do We Know So Far?, Prepared by Anzhela Knyazeva for Mark Flannery, Director and Chief Economist, Division of Economic and Risk Analysis, November 2016
Chapter 8. SEC White Paper, Outcomes of Investing in OTC Stocks, Joshua T. White, Division of Economic and Risk Analysis, December 16, 2016
Chapter 9. SEC Speech: Working Together to Advance High Quality Information in the Capital Markets, Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant, Keynote Address before the 2016 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 5, 2016
Chapter 10. SEC Speech, Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, Remarks at the 2016 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 5, 2016
Chapter 11. SEC Speech, Marc Panucci, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C. Dec. 5, 2016
Chapter 12. SEC Speech, Jenifer Minke-Girard, Assistant Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 5, 2016
Chapter 13. Recent Significant Judicial Developments, Securities and Exchange Commission, Office of the General Counsel (December 6, 2016)
Chapter 14. 2016 in Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission (December 16, 2016)
Chapter 15. Office of International Affairs
Chapter 16. Outline: Office of Municipal Securities
Chapter 17. Annual Report on Nationally Recognized Statistical Rating Organizations (December 2016)
Chapter 18. 2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (December 2016)
All Contents Copyright © 1996-2020 Practising Law Institute.
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