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Top 10 Regulatory Alerts – Compliance and Operations 2008

Top 10 Regulatory Alerts – Compliance and Operations 2008

We continue our look back on the most significant regulatory developments for 2008. Yesterday, we delivered the Top 10 Regulatory Alerts – Funds, and tomorrow we will deliver the Top 10 Regulatory Alerts – Distribution and Broker-Dealers. Today, we list the Top 10 Regulatory Alerts – Compliance and Operations. For your convenience, the date of each Alert is included so that you can go back and read it again on our blog: blog.cipperman.com.

Top 10 Regulatory Alerts – Compliance and Operations 2008

  1. SEC OCIE Releases Core Initial Information Request List for Adviser Exams (11/14/08)
  2. SEC Staff Issues Compliance Alert to Advisers, Funds, BDs (7/23/08)
  3. SEC Enforcement Director Offers Guidance to CCOs to Avoid Personal Liability (6/11/08)
  4. SEC Warns CEOs Not to Cut Compliance (11/3/08)
  5. Schapiro Calls for New Financial Regulatory System (10/28/08)
  6. Treasury Releases Regulatory Reform Recommendations (4/7/08)
  7. SEC Publishes Enforcement Manual (10/10/08)
  8. FASB Staff Provides Valuation Guidance For Securities In Inactive Markets (10/8/08)
  9. Bailout Bill Requires Cost Basis Reporting (10/6/08)
  10. SEC Extends Short-Selling Limitations Through October 17 and Beyond (10/3/08)

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