John V. Ayanian

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Washington, D.C.: 1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5946
Fax: 202.739.3001

37 Publications Found

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Date	Title	Publication
05/06/1005/06/10	Bank Regulatory Examinations, presented at the SIFMA Compliance & Legal Society 2010 Annual Seminar, Washington, D.C. View Presentation	Speech
01/27/1001/27/10	SEC Proposes Amendments to Issuer Repurchase Rule (Rule 10b-18) View LawFlash	Investment Management FYI
10/06/0910/06/09	Conflicts of Interest [Small Firms], presented at the NSCP National Membership Meeting, Philadelphia View Presentation View Outline	Speech
09/16/0909/16/09	Broker-Dealer Session, presented at the Compliance Roundtable Seminar, Philadelphia View Presentation	Speech
09/14/0909/14/09	Advisor Regulatory Panel, presented at the First Clearing LLC Fall 2009 Compliance Roundtable View Presentation	Speech
05/06/0905/06/09	Essential Business, Legal, and Regulatory Considerations, presented at the Second Annual Outsourcing in the Financial Services Seminar, New York View Outline View Presentation	Speech
03/25/0903/25/09	Workshop: Mutual Funds–Solving Problems, presented at the SIFMA Compliance & Legal Division’s 2009 Annual Seminar, Phoenix, AZ View Outline	Speech
03/18/0903/18/09	Back to Basics: FINRA Issues 2009 Examination Priorities View LawFlash	Securities Industry FYI
11/14/0811/14/08	Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C. View Presentation	Speech
06/30/0806/30/08	SEC Proposes Major Revisions to Rule 15a-6 View LawFlash	Securities Industry FYI
05/16/0805/16/08	FINRA Issues Proposals on Rulebook Consolidation View LawFlash	Securities Industry FYI
05/01/08May 2008	Outsourcing in the Securities Industry: Assessing the Regulatory Landscape, Wall Street Lawyer, Vol. 12, Issue 5 View Article	Article
01/11/0801/11/08	FINRA Amends NYSE Rule 342.13: Eliminates Cut-Off Date for Recognition of Series 24 View LawFlash	Securities Industry FYI
11/13/0711/13/07	Current Concerns for Investment Advisory Compliance, presented at the First Clearing LLC Compliance Roundtable, Washington, D.C. View Presentation	Speech
10/22/0710/22/07	Transitioning to a Post-Rule 202(a)(11)-1 Environment, presented at the 2007 NSCP National Membership Meeting, Washington, D.C. View Presentation	Speech
09/28/0709/28/07	Securities Industry and Financial Markets Association, presented at the Research Management Conference, New York View Presentation View Outline	Speech
06/19/0706/19/07	Putting the Pieces Together, presented at SIFMA's Research Analyst Symposium, New York View Outline View Presentation	Speech
05/23/0705/23/07	Surviving an Examination by the NASD/SEC, presented at the Fifth Annual BISA Conference, Washington, D.C. View Presentation	Speech
11/15/0611/15/06	Trading and Market Structure Issues, presented at the 2006 Investment Company Directors' Conference, San Francisco and Washington, D.C.	Speech
10/19/0610/19/06	Financial Planning Issues, presented at the 2006 NSCP National Membership Meeting, Washington D.C.	Speech
07/19/0607/19/06	Legal á la Carte - Outsourcing and Financial Services: Regulatory and Commercial Considerations, New York View Presentation	Speech
06/19/0606/19/06	In Securities Deals, Plan for the Regulators: Know the rules and avoid delay. Legal Times View Article	Article
03/08/0603/08/06	The Regulatory Landscape, presented at the Outsourcing in Financial Services Conference, New York View Presentation	Speech
03/06/0603/06/06	New Broker-Dealer CEO Certification and Supervisory Control Rules, presented at the Bank Insurance & Securities Association Annual Convention, Hollywood, FL View Outline	Speech
02/28/0602/28/06	Supervisory Controls and CEO Certification, presented at the BD Week Audio Conference View Presentation	Speech

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John V. Ayanian