Securities and Exchange Commission | by OCEG the Open Compliance and Ethics Group

OCEG Contributed

GAO, Securities and Exchange Commission's Financial Statements for Fiscal Years 2007 and 2006 (2007)

Final Report of the Advisory Committee on Improvements to Financial Reporting to the United States Securities and Exchange Commission (2008)

Complexity DeCIFiRed SEC Advisory Committee Releases Final Report (Deloitte, 2008)

SEC, Final Rule - Exemption from Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers (2008)

SEC, Final Rule: Electronic Filing and Revision of Form D (2008)

SEC, Foreign Issuer Reporting Enhancements, Final Rule (2008)

SEC, Enforcement Manual (2008)

SEC, Final Rule, Smaller Reporting Company Regulatory Relief and Simplification (2008)

SEC, Final Rule - Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP (2008)

SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010)

SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010)

Member Contributed

SEC, Code of Ethics

SEC, Financial Reporting Information Center: Regulatory Actions

SEC, Field Offices Integrity Program (2005)

SEC, Proposed Rule - Smaller Reporting Company Regulatory Relief and Simplification (2007)

SEC, Shareholder Choice Regarding Proxy Materials; Final Rule (August 1, 2007)

SEC, Short Selling in Connection With a Public Offering, Final Rule (August 10, 2007)

SEC, Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c31 And 15c33 Under the Securities Exchange Act of 1934 ; Purchase of Deferred Variable Annuity Contracts (September 13, 2007)

Securities Law 360 Newsletter for Litigators and Compliance Professionals