Form PF Boot Camp – Sept 7, 2012
September 7, 2012
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When: September 7th, 2012 Where: The Princeton Club, New York City Janaya Moscony, CEO and President of SEC3, will take part in this Form PF
When: September 7th, 2012 Where: The Princeton Club, New York City Janaya Moscony, CEO and President of SEC3, will take part in this Form PF
New NFA Rules effective September 1, 2012 mandate the registration of “Swaps Firms” and “Swaps APs” and provide an exemption from Series 3 for Swap
The Securities and Exchange Commission (“SEC”) has proposed amendments to Rule 506 of Regulation D to allow the use of general solicitation and advertising in
The Private Investment Funds Subcommittee of the New York State Bar Association recently organized a meeting on the Securities and Exchange Commission’s (“SEC”) risk-based examination
How to Design an Appropriate Electronic Communications Review A frequent question we receive from both established and newly registered advisers concerns the proper review of
For your reading pleasure, we present a list of tips for surviving a routine SEC Examination. This list has been compiled by SEC3 employees including
The National Examination Program (“NEP”) of the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Regulation Commission (“SEC”) currently stresses a risk-based approach
Office of Compliance Inspections and Examinations Process Overview. {Jscribd document_id:=100439931 access_key:=key-18h0yrqm38m1g9wphes7 viewmode:=List h:=500 w:=690} SECCC
An example of recent SEC Long form and SEC Short form SEC Examination Information Request Lists. {Jscribd document_id:=100439939 access_key:=key-el9esebxz7069girf6b viewmode:=List h:=500 w:=690} SECCC
When: June 28th, 2012 – 6:30 pm – 8:30 pm ET Where: Skadden Arps, 4 Times Square, New York, NY Sponsor: New York State Bar Association,
