Industry Education

Our goal is to develop and deliver relevant, engaging and timely information to help market participants understand and comply with their regulatory requirements more effectively and efficiently. It is also important for us to receive feedback and comments from market participants about proposed changes to securities rules.

Throughout the year, we provide opportunities for market participants to attend workshops and round tables in person or online to learn about changes to regulations as well as discuss and comment on proposed changes.

For older industry education events, go to the Events page.

Industry Events

Embedded Fee Proposals, and Change of Business Models

May 11, 2017

Embedded Fee Proposals, and Change of Business Models

Roundtable to Discuss Targeted Reforms to Enhance the Client-Registrant Relationship, November 29, 2016

November 29, 2016

Roundtable to Discuss Proposed Targeted Reforms to Enhance the Client-Registrant Relationship

Registrant Outreach Workshop - Cyber Security, November 21, 2016

November 21, 2016

Registrant Outreach Workshop
Cyber Security

Crowdfunding & Capital Raising for Small Business in the Private Placement Market

November 16, 2016 

Crowdfunding & Capital Raising for Small Business in the Private Placement Market

New Web-based filing system for Exempt Distribution Report, June 29, 2016

June 29, 2016

Learn about the new web-based filing system for Exempt Distribution Reports

New Harmonized Exempt Distribution Report, May 31, 2016

May 31, 2016

Learn about the new, harmonized Exempt Distribution Report

Registrant Outreach Workshop - Captive Dealers and CRM2 Implementation, April 13, 2016

April 13, 2016 

Registrant Outreach Workshop
Captive Dealers and CRM2 Implementation

Learn About New Investment Dealer Exemption, February 23, 2016

February 24, 2016

Learn how to comply with Derivatives Trade Reporting Rules