Course Handbook  Course Handbook

The SEC Speaks in 2017

Publication Date: February 2017 Number of Volumes: 1
ISBN Number: 9781402428562 Page Count: 764 pages

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Download: Table of Contents    Index

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) Seth Groveunder ~
Sherry A Peyton ~
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) Benjamin L Schiffrin ~
J.R. Ambrose ~
Joan Sedgwick-Sullivan ~
Kermit B Kennedy ~
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)
Index

This Course Handbook was compiled for the program, The SEC Speaks in 2017.

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)
David W Grim, U.S. Securities and Exchange Commission
Marc Wyatt, U.S. Securities and Exchange Commission
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The SEC Speaks in 2018  
The SEC Speaks in 2017 Marc Wyatt, U.S. Securities and Exchange Commission
David W Grim, U.S. Securities and Exchange Commission
 
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