Compliance Outreach Seminar -- Philadelphia

SEC COMPLIANCE OUTREACH SEMINAR -- Philadelphia, PA When: October 7th 2013 Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103 Speakers:

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

Discussion:

• 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.

Register by visiting our SEC3 Compliance Consultants website.

Offered by SEC3 Compliance Consultants LLC

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