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)