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SEC Compliance Best Practices & Articles
This section contains Best practices for processes in SEC Compliance industry. Browse this section to find SEC regulation related articles, best practices published by many world renowned experts. View compliance trainings and standards for enhanced knowledge of SEC Compliance industry.
Most Read Articles  
Website dedicated to Investor Education
CFTC and SEC Joint Study Open to Comments on the Joint Study on the Feasibility of Requiring the Adoption of Standardized Computer-Readable Descriptions of Complex and Standardized Derivatives
SEC Charges Doctor with Tipping
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Compliance Best Practices for SEC Compliance
CFTC and SEC Joint Study Open to Comments on the Joint Study on the Feasibility of Requiring the Adoption of Standardized Computer-Readable Descriptions of Complex and Standardized Derivatives
Generous Rewards for Informers under the New Whistleblower Program from SEC
New Regulatory Reforms between the SEC and CESR Likely to Affect Financial Firms between Continents
more...
General Articles
Investment of Proceeds of Municipal Securities – SEC Censures Bank of America Securities for Rigging Bids
Market Participant Identifiers Are Now Required To Access Markets: A Measure by the SEC
SEC Initiative - Brokers and dealers to have risk controls in place before providing their customers with access to the market: A Measure by the SEC
Oversight of Investment Advisers Leads to New Rules Proposed by the SEC
more...
Regulations & Guidances
Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR PART 242 - Consolidated Audit Trail
17 CFR PART 249 - Proxy Disclosure Enhancements; Correction
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
more...
Compliance Standards for SEC Compliance
Validation Master Plan
Validation master plan for equipment hardware, computer systems, networked spreadsheet applications and legacy systems. Framework and starting point for all other validation documents.The product includes forms, checklists for quick start and implementation.

Price: $90
Method Validation
Price: $79
QVD Protocol and Report Preparation
Price: $99
Monitoring of Clinical Trials
Price: $29
more...
Compliance Trainings
How to audit-Proof your tax return while saving money on your taxes
On Demand Access Anytime
SEC Management Guidance for SOX - UPDATE
On Demand Access Anytime
The Revised BSA/AML Compliance Manual - How Does It Affect Your Institution?
On Demand Access Anytime
Bankruptcy Law Update
On Demand Access Anytime
Federal Corrupt Practices Act - How Your Institution Can Comply
On Demand Access Anytime
Developing a risk-management matrix for non-bank financial institutions (NBFIs) to comply with AML laws
On Demand Access Anytime
more...
Contributing Authors/ Experts
John C Blackshire, CEO, The Accountware Group, Inc. (TAG)