| The SEC Speaks in 2013 TOC |
|
|
| 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 |
Robert S Khuzami ~ Kirkland & Ellis LLP
|
|
| 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 SEC, September 27, 2012 |
|
|
| 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 SEC |
|
|
| 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. SEC, October 16, 2012 |
|
|
| 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 |
Joan A. McCarthy ~ Assistant General Counsel, Securities and Exchange Commission
Rory C. Flynn ~ Associate General Counsel, Office of the General Counsel,
|
|
| 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. . . |
|
|
| 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). . . |
|
|
| 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). . . |
|
|
| 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). . . |
|
|
| 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 |
|
|
| Chapter 30: Index to The SEC Speaks in 2013 |
|
|