Filing Deadlines and To-Do List for December 2019

Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:

SEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC’s Proposed Advertising & Cash Solicitation Rule Changes; Mutual Funds Placed on SEC’s Naughty List

December Regulatory Updates from Cari A. Hopfensperger, and colleagues, at Hardin Compliance Consulting LLC.

Topics include:

What’s Next?: Regulatory Update for November 2019

Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

Read the full update here.

 

SEC’s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019

Cari Hopfensperger at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases.  Topics include:

Read more here.