October 07, 2013

2013 Philadelphia CCO Compliance Roundtable


Philadelphia partners Josh Deringer and Mary Hansen held a compliance panel discussion and roundtable featuring Mark Dowdell, Assistant Regional Director in the SEC’s Philadelphia Regional Office and Linda Smith at SEC Compliance Consultants, Inc.  The program addressed:

  • SEC 2013 Exam Priorities
  • Update on the 2013 Exam Results and a preview of 2014 Exam Priorities
  • Recent SEC Investigations and Enforcement Actions
  • JOBS Act:  both the adopted rules (general solicitation; bad actors) and the proposed rules

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