March Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Not Quite Dead Yet – DOL’s Fiduciary Rule Rises Again!
- Regulatory Limbo – Freeze Impacts on RIAs and Investment Companies
- FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report
- FINRA Warns of Risks when Engaging in Low-Priced Securities Business
- CFTC Amends Form CPO-PQR
- Payment for Order Flow Gets Another Broker into Hot Water for Undisclosed Conflicts
- Multiple Disclosure Failures Lead to $18 Million Fine for Wrap Sponsor
- March Madness – RIA Bribed Agents to Recruit NCAA Player Clients
- Heed the Advice of Your CCO
