2007 CCOutreach Regional Seminars: Helpful Resources
Phone Numbers and Email Addresses
Form ADV Helpline
Staffed by the Division of Investment Management's Office of Investment Adviser Regulation. Call or email to receive information regarding adviser registration and how to interpret and complete Form ADV. This is a voicemail line so that SEC staff can research a response to your question and then call you back.
202-551-6999 or IARDlive@sec.gov
Form ADV Technical Support Line
Staffed by the NASD (the IARD system operator). Call here for technical support on access to the IARD system, IARD passwords, IARD account funding.
240-386-4848
SEC Office of Investment Adviser Regulation
Staffed by the Division of Investment Management. Call or email to receive information regarding recent SEC rulemakings and applications for exemptive relief from adviser rules.
202-551-6787 or IArules@sec.gov
SEC Office of Chief Counsel
Staffed by the Division of Investment Management. Call or email to receive other interpretive guidance on investment adviser or investment company rules.
202-551-6825 or IMOCC@sec.gov
Examination Hotline
Staffed by the Office of Compliance Inspections and Examination's Office of the Chief Counsel. Call or email to express concerns about an examination.
202-551-EXAM or ExamHotline@sec.gov
CCOutreach
Staffed by the Office of Compliance Inspections and Examination's Office of Investment Company/ Investment Adviser Examinations and Oversight. Email comments and suggestions primarily intended for use in the CCOutreach Program. Please note that the staff does not respond directly to specific compliance questions and concerns.
CCOutreach@sec.gov
Back to top
Web Sites
CCOutreach
http://www.sec.gov/info/ccoutreach.htm
Upcoming Events
Seminar Registration
Speeches and Press Releases
Division of Investment Management
http://www.sec.gov/divisions/investment.shtml
Investment Advisers Act and Advisers Act rules
Selected staff no-action and interpretive letters
Staff responses to FAQs about various requirements
IARD Homepage
http://www.sec.gov/divisions/investment/iard.shtml
Information regarding new regulatory matters for advisers
Back to top
Relevant Speeches
Working Towards a Culture of Compliance: Some Obstacles in the Path
http://www.sec.gov/news/speech/2007/spch101807lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the National Society of Compliance Professionals 2007
National Membership Meeting, Washington, D.C.
October 18, 2007
SEC's Compliance Examinations in the Protection of Investors
http://www.sec.gov/news/speech/2007/spch032307lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the 9th Annual IA Compliance Best Practices Summit 2007, IA Week and the Investment Adviser Association, Washington, D.C.
March 23, 2007
CCOutreach and the Annual Review
http://www.sec.gov/news/speech/2006/spch120506lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the 2006 Securities Law Developments Conference Investment Company Institute, Washington, D.C.
December 5, 2006
Mutual Funds in 2006: Getting Back to Basics and Embracing Core Values
http://www.sec.gov/news/speech/2006/spch120406ajd.htm
Andrew J. Donohue, Director, Division of Investment Management
Remarks before the ICI 2006 Securities Law Developments Conference, Washington, D.C.
December 4, 2006
The Process of Compliance
http://www.sec.gov/news/speech/2006/spch101906lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the National Membership Meeting of the National Society of Compliance Professionals, Washington, D.C.
October 19, 2006
The Role of CCOs and Compliance Professionals
http://www.sec.gov/news/speech/2006/spch092506ajd.htm
Andrew J. Donohue, Director, Division of Investment Management
Keynote Address before IA Week's 6th Annual Fall Compliance Conference, New York, N.Y.
September 25, 2006
Fiduciary Duty: Return to First Principles
http:/www.sec.gov/news/speech/spch022706lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Eighth Annual Investment Adviser Compliance Summit, Washington, D.C.
February 27, 2006
Better Than 'Business as Usual'
http://www.sec.gov/news/speech/spch102605lr.htm
Lori Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the National Society of Compliance Professionals National Membership Meeting, Washington, D.C.
October 25, 2005
SEC Expectations for Regulatory Compliance
http://www.sec.gov/news/speech/spch111405gag.htm
Gene Gohlke, Associate Director, Office of Compliance Inspections and Examinations
Remarks before the Fund of Funds Forum, New York, NY
November 14, 2005
Compliance: Some Core Principles
http://www.sec.gov/news/speech/spch042005lr.htm
Lori Richards, Director, Office of Compliance Inspections and Examinations
National Regulatory Services' Twentieth Annual Spring Compliance/Risk Management Conference, Scottsdale, AZ
April 20, 2005
Compliance Programs: Our Shared Mission
http://www.sec.gov/news/speech/spch022805lar.htm
Lori Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the Investment Adviser Compliance Best Practices Summit, Washington, D.C.
February 28, 2005
Back to top
http://www.sec.gov/info/cco/ccoresources.htm
