Course Handbook  Course Handbook

The SEC Speaks in 2018

Publication Date: February 2018 Number of Volumes: 1
ISBN Number: 9781402430770 Page Count: 624 pages

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Table of Contents
Chapter 1: Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2017
Chapter 2: Investment Management Compendium (January 1–December 1, 2017)
Chapter 3: Outline of Selected SEC Enforcement Actions, Division of Enforcement (September 30, 2017) Andres Franco ~
Angel Reyes ~
Kathleen Donnelly ~
Sherry A. Peyton ~
Chapter 4: National Exam Program, Office of Compliance Inspections and Examinations, Examination Priorities for 2017
Chapter 5: National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VII, Issue 1, November 7, 2017, Observations from Municipal Advisor Examinations
Chapter 6: National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VI, Issue 6, September 14, 2017, The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers
Chapter 7: National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VI, Issue 5, August 7, 2017, Observations from Cybersecurity Examinations
Chapter 8: National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VI, Issue 4, May 17, 2017, Cybersecurity: Ransomware Alert
Chapter 9: Statement in Connection with the 2017 AICPA Conference on Current SEC and PCAOB Developments, Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant, Washington, D.C., December 4, 2017
Chapter 10: SEC Speech: Ryan Wolfe, Senior Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 11: SEC Speech: Nigel J. James, Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 12: SEC Speech: Barry Kanczuker, Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 13: SEC Speech: Michael P. Berrigan, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 14: SEC Speech: Michael P. Dusza, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 15: SEC Speech: Joseph R. Epstein, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 16: SEC Speech: Robert B. Sledge, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 4, 2017
Chapter 17: Report to Congress, Access to Capital and Market Liquidity, As Directed by the Explanatory Statement to the Consolidated Appropriations Act, 2016 (P.L. 114-113), August 2017
Chapter 18: 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 19: Outline: SEC Speaks 2018, Division of Trading and Markets
Chapter 20: Judicial Developments
Chapter 21: 2017 in Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission (December 27, 2017) Benjamin L. Schiffrin ~
J.R. Ambrose ~
Joan Sedgwick-Sullivan ~
Kermit B. Kennedy ~
Chapter 22: Office of International Affairs
Chapter 23: Outline: Office of Municipal Securities
Chapter 24: Annual Report on Nationally Recognized Statistical Rating Organizations (December 2017)
Chapter 25: 2017 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (December 2017)
Index

This Course Handbook was compiled for the program, The SEC Speaks in 2018.

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
Steven R. Peikin, U.S. Securities and Exchange Commission
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The SEC Speaks in 2018 William H. Hinman, U.S. Securities and Exchange Commission
Stephanie Avakian, U.S. Securities and Exchange Commission
Steven R. Peikin, U.S. Securities and Exchange Commission
 
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