Course Handbook  Course Handbook

The SEC Speaks in 2019

Publication Date: April 2019 Number of Volumes: 1
ISBN Number: 9781402433153 Page Count: 758 pages

From: The SEC Speaks in 2019

Download: Table of Contents    Index

Table of Contents
Chapter 1: U.S. Securities and Exchange Commission, Press Release, SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities (December 20, 2018)
Chapter 2: 2019 National Exam Program Examination Priorities, Office of Compliance Inspections and Examinations
Chapter 3: National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, November 8, 2018, Risk-Based Examination Initiatives Focused on Registered Investment Companies
Chapter 4: National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, October 31, 2018, Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
Chapter 5: National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, July 11, 2018, Compliance Issues Related to Best Execution by Investment Advisers
Chapter 6: National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume VII, Issue 2, April 12, 2018, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
Chapter 7: Outline: SEC Speaks 2019, Division of Trading and Markets
Chapter 8: Outline of Selected SEC Enforcement Actions, Division of Enforcement (September 30, 2017) Andres Franco ~
Angel Reyes ~
Kathleen Donnelly ~
Sherry A. Peyton ~
Chapter 9: Brief for Professors at Law and Business Schools as Amicus Curiae in Support of Respondents, Matrixx Initiatives, Inc. v. Siracusano, No. 09-1156 (U.S. 2010)
Chapter 10: Brief for the United States as Amicus Curiae Supporting Respondents, Matrixx Initiatives, Inc. v. Siracusano, No. 09-1156 (U.S. 2010)
Chapter 11: The Implications of Passive Investing for Securities Markets, BIS Quarterly Review (March 2018) Grant Turner ~ Bank for International Settlements
Vladyslav Sushko ~ Bank for International Settlements
Chapter 12: Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2018
Chapter 13: SEC Speech: Wesley Bricker, Chief Accountant, Office of the Chief Accountant, Statement in Connection with the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 14: SEC Speech: Kevin L. Vaughn, Senior Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 15: SEC Speech: Sarah N. Esquivel, Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 16: SEC Speech: Tom W. Collens, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 17: SEC Speech: Emily L. Fitts, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 18: SEC Speech: Rahim M. Ismail, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 19: SEC Speech: Andrew W. Pidgeon, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 20: SEC Speech: Sheri L. York, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
Chapter 21: Investment Management Compendium (January 1, 2018–December 1, 2018)
Chapter 22: Personal Benefit Standard for Insider Trading Liability
Chapter 23: Section 2462’s Applicability to Disgorgements: Kokesh v. SEC
Chapter 24: Liability under the Federal Antifraud Provisions
Chapter 25: Constitutionality of Administrative Law Judge Appointment
Chapter 26: 2018 in Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission (December 17, 2018) Benjamin L. Schiffrin ~
J.R. Ambrose ~
Joan Sedgwick-Sullivan ~
Kermit B. Kennedy ~
Chapter 27: Office of International Affairs
Chapter 28: Outline: Office of Municipal Securities
Chapter 29: Annual Report on Nationally Recognized Statistical Rating Organizations (December 2018)
Chapter 30: 2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (December 2018)
Index

This Course Handbook was compiled for the program, The SEC Speaks in 2019.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Stephanie Avakian, U.S. Securities and Exchange Commission
William H. Hinman, U.S. Securities and Exchange Commission
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The SEC Speaks in 2019 William H. Hinman, U.S. Securities and Exchange Commission
Stephanie Avakian, U.S. Securities and Exchange Commission
 
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