June Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- New Jersey Adopts Its Own Senior Safe Legislation
- NASAA 2020 Investment Adviser Section Annual Report
- Notice to Members I-20-20: Coronavirus Update – Relief from Fingerprinting Requirements
- Notice to Members I-20-18: Amendments to NFA Compliance Rule 2-29 and Related Interpretive Notice Now Effective
- Broker-Dealer Recruiting Tactics Lead to Reg S-P Violations
- “May” I? No, You “May” Not! SEC Settles with Private Equity Adviser with Conflicted Expense Reimbursements
- Whoops! I Did It Again! Adviser Fails to Learn from Mistakes, Blows up Fund
- Five Million Reasons Why Wrap Fee Transparency is Important
- Mutual Fund Manager Misprices Odd Lot Bonds, Overstates NAV and Related Performance
