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