Unpacking the SEC Rule Withdrawals: What Compliance Professionals Need To Know

The SEC’s unexpected decision to withdraw several high-profile rule proposals has left many compliance professionals asking: What now? 

Join COMPLY Chief Regulatory Officer, Jamila Mayfield, expert consultant, Mederic Daigneault, and IAA General Counsel and Head of Public Policy, Gail Bernstein, as they break down what was withdrawn, why it matters, and, most importantly, what your firm should still be doing to protect itself. Whether you work at an RIA, private equity firm, or broker-dealer, this timely session will help you interpret the implications and adjust your compliance program accordingly.  

What You’ll Learn: 

• A clear overview of the withdrawn rules, including Predictive Data Analytics (AI), Cybersecurity, Safeguarding, ESG, Outsourcing, and more 

• What the withdrawals signal about the SEC’s evolving regulatory approach and enforcement tone 

• Rule-by-rule guidance on what remains relevant and actionable for your firm 

• Six practical compliance actions you should keep on your calendar, even without finalized rules 

• How to prepare for exams and scrutiny in a deregulatory environment  

Why Attend? 

This is not just a recap, it’s a roadmap. You'll leave with: 

• A full understanding of the SEC’s recent moves 

• Guidance on what regulators still expect from you 

• Tips to future-proof your compliance program in a climate of uncertainty Insights from seasoned experts who’ve helped firms of all sizes stay ahead of enforcement risks 

Please note: 1 IACCP® continuing education credit will be offered for this webinar.