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The SEC Speaks in 2015
Chair(s):
Norm Champ, Andrew J. Ceresney
Practice Area:
Corporate & Securities
Published:
Feb 2015
ISBN:
9781402423987
PLI Item #:
58793
CHB Spine #:
B2153
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Outline: SEC Speaks 2015, Division of Trading and Markets
Chapter 2. Outline: Division of Investment Management
Chapter 3. Outline of Selected SEC Enforcement Actions, November 2014
Chapter 4. National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume IV, Issue 3, October 9, 2014, Broker-Dealer Controls Regarding Customer Sales of Microcap Securities
Chapter 5. National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume IV, Issue 2, April 15, 2014, OCIE Cybersecurity Initiative
Chapter 6. Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations, Spreading Sunshine in Private Equity, Speech before the Private Equity International (PEI), Private Fund Compliance Forum, New York, N.Y. (May 6, 2014)
Chapter 7. Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations, People Handling Other Peoples’ Money, Speech before the Investment Adviser Association Compliance Conference, Arlington, VA (March 6, 2014)
Chapter 8. National Exam Program, OCIE Broker-Dealer Examination Program, Industry Letter for the Municipal Advisor Examination Initiative (August 19, 2014)
Chapter 9. National Exam Program, OCIE IAIC Examinations Program, Letter to Never-Before Examined Investment Advisers (February 20, 2014)
Chapter 10. Compendium of rulemaking and public statements relating to the developments in the Division of Corporation Finance in 2014
Chapter 11. SEC Speech, James Schnurr, Chief Accountant, Office of the Chief Accountant, Remarks before the 2014 Washington, D.C., Dec. 8, 2014
Chapter 12. SEC Speech, Dan Murdock, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 8, 2014
Chapter 13. SEC Speech, Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 8, 2014
Chapter 14. SEC Speech, Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 8, 2014
Chapter 15. SEC Speech, Kevin M. Stout, Senior Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., Dec. 8, 2014
Chapter 16. 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 17. Memorandum to File from The Division of Economic and Risk Analysis dated March 17, 2014 Re: Liquidity Cost During Crisis Periods
Chapter 18. Memorandum to File from The Division of Economic and Risk Analysis dated March 17, 2014 Re: Municipal Money Market Funds Exposure to Parents of Guarantors
Chapter 19. SEC Speech, Mark J. Flannery, Chief Economist and Director, The Commission’s Production and Use of Structured Data, Data Transparency Coalition’s Fall Conference, Washington D.C., Sept. 30, 2014
Chapter 20. SEC Reports and Publications: Staff Observations of Custom Tag Rates, July 7, 2014
Chapter 21. 2014 in Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission, December 10, 2014
Chapter 22. Recent Significant Judicial Developments, Securities and Exchange Commission, Office of the General Counsel, December 22, 2014
Chapter 23. 17 CFR § 201.102, Appearance and practice before the Commission
Chapter 24. 17 CFR Part 205, Standards of Professional Conduct for Attorneys Appearing and Practicing before the Commission in the Representation of an Issuer
Chapter 25. 17 CFR § 240.21F
Chapter 26. In the Matter of Yale I. Asbell, SEC Release No. 73206/ September 24, 2014, Administrative Proceeding File No. 3-16163, Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Section 9(b) of the Investment Company Act of 1940, and Rule 1029(e)(1)(iii) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order
Chapter 27. In the Matter of Todd A. Duckson, Esq., CPA, SEC Release No. 73247/September 29, 2014, Administrative Proceeding File No. 3-16179, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(A) of the Commission’s Rules of Practice
Chapter 28. In the Matter of Marcus A. Luna, Esq., SEC Release No. 72249/May 23, 2014, Administrative Proceeding File No. 3-15886, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B) of the Commission’s Rules of Practice
Chapter 29. In the Matter of Robert C. Weaver, Jr., Esq., SEC Release No. 73578/November 12, 2014, Administrative Proceeding File No. 3-16268, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(A) of the Commission’s Rules of Practice
Chapter 30. Outline: Office of International Affairs
Chapter 31. 2014 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, December 2014
Chapter 32. Annual Report on Nationally Recognized Statistical Rating Organizations, As Required by Section 6 of the Credit Rating Agency Reform Act of 2006, December 2014
Index
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