Phila Compliance Outreach Seminar

When: October 7th 2013
Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103


Mark Dowdell Assistant Regional Director in the SEC’s Philadelphia Regional Office, Linda Smith, Managing Director at SEC Compliance Consultants, Inc. and Joshua B. Deringer and Mary Hansen, both Partners at Drinker Biddle & Reath will discuss:

  • SEC 2013 Exam Priorities
  • Update on 2013 SEC 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

Schedule:
9:00-9:30am – Networking and Continental Breakfast
9:30-11:00am – Program

This event is free of charge.