When: November 20th, 2012 – 9:00 am to 11:00 am
Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room
When: November 20th, 2012 – 9:00 am to 11:00 am
Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room
Sponsored by SEC3 and Blank Rome, LLP
9:00-9:30 a.m.
Networking and Continental Breakfast
9:30-11:00 a.m.
Program
- SEC Exam Focus and Presence Exams (See Our breaking news alert we sent Sept 27th SEC “Presence” Exams – Four Focus Areas and The SEC’s Letter to Industry Regarding Presence Exams
- CFTC registration of CPOs and CTAs
- The JOBS Act and the SEC’s recent proposal to lift the ban on general solicitation and advertising for Private Funds
- Form PF
- Regulatory Update: The news from Washington, D.C.
If you would like to attend or pose a specific question please send an email to roundtable@seccc.com and be sure to state which roundtable you will or wish to attend.
