Our consultants provide a status update of the JOBS Act in which the SEC guidance is expected by Independence Day! This relaxation of the General Solicitation prohibition under Rule 506 will change the way private funds advertise and market themselves. The SEC’s Division of Risk, Strategy and Financial Innovation has a new initiative which is impacting examinations by OCIE. Hear about the analytical model that is helping the SEC determine which firms to examine. Finally, learn how the SEC gets to the point of enforcement and hear about yet another case involving a Ponzi scheme.
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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