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Resources


This section is designed to help you be more efficient by
getting you the answers you need quickly and economically.

Regulatory Framework


If you are new to compliance or need a refresher this document is a great place to start.
Unfortunately, the SEC has not updated it since 2013.
​Regulation of Registered Investment Advisers by the SEC, Division of Investment Management, U.S. Securities and Exchange Commission.
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Laws, Rules, and Regulations


Investment Advisers Act of 1940  related rules
Investment Company Act of 1940  related rules
Securities Act of 1933 related rules
Securities Exchange Act of 1934 related rules
Sarbanes-Oxley Act of 2002-1
Dodd-Frank Wallstreet Reform and Consumer Protection Act of 2010
Jumpstart Our Business Startups Act 2012
Regulations S-P,  S-AM and S-ID


Reference Materials


Topical Reference Guide
Releases for the proposed and final rules
Topical No-action letters 
 Administrative proceedings 
Civil lawsuits by the SEC
Office of Compliance Inspections and Examinations
SEC Compliance Outreach Program
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State Regulators


North American Security Administrators Association

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© 2019 SAPPHIRE COMPLIANCE MANAGEMENT, LLC.  
​ALL RIGHTS RESERVED.
Sapphire Compliance Management is a compliance consulting firm. It is not a law firm and does not provide legal advice.
​It is not a substitute for the advice of an attorney. If you need legal advice, please consult a licensed attorney.
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