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S 1A 033 63721 SEC Gov  Form

S 1A 033 63721 SEC Gov Form

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good morning and thanks for joining us so early this morning hopefully you've had your coffee welcome to the Securities and Exchange commission's 2024 National compliance Outreach seminar for investment advisors and Investment Company compliance professionals today's event is sponsored by the sec's division of examinations division of enforcement as well as the division of investment management I am Vanessa Horton an iic National associate in the division of examinations together with Marshall Gandy we are serving as the chairpersons for this event we will introduce each of the presentations today but before we begin I'd like to remind you to visit .sec.gov under the rules enforcement and compliance dropdown where there is a link to the compliance Outreach program with the following information you can access today's agenda for today and as you can see we have a very full agenda plan for you you can also submit any questions for the panel

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