Securities and Exchange Commission

Philadelphia partners Josh Deringer and Mary Hansen participated in a panel discussion and roundtable at the CCO Compliance Roundtable on Monday, October 7, in Philadelphia.

Josh and Mary were joined on the panel by Mark Dowdell, Assistant Regional Director in the SEC’s Philadelphia Regional Office, and Linda Smith, Managing Director, SEC Compliance Consultants, Inc.

The panel discussed SEC 2013 Exam Priorities; an update on the 2013 Exam Results and a preview of 2014 Exam Priorities; recent SEC Investigations and Enforcement Actions; and the JOBS Act -- both the adopted rules (general solicitation, bad actors) and the proposed rules.