February Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Custody of Digital Asset Securities by Special Purpose Broker-Dealers
- Annual Amendments to Form ADV and CRS Due March 31, 2021
- Brokers Named as Beneficiary or Holding a Position of Trust on Behalf of Customers
- Reminder: Background Check Rules Now Apply to Funds Reaffirming Rule 4.13 Exemption
- Robinhood Failed to Disclose True Cost of Commission-Free Trades to Customers
