April Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Risk Alert – Division of Examinations’ Continued Focus on Digital Asset Securities
- SEC Presents its 2021 Examination Priorities
- SEC Says New Marketing Rule is “All or Nothing”
- SEC Updates 13F FAQ to Reflect Amended Reg S-T and the Use of Electronic Signatures on EDGAR filings
- Reg Notice 21-10, Private Placement Filer Form
- SEC Publishes Small Entity Compliance Guide on Good Faith Determinations of Fair Value
- Private Fund Manager Blows Private Offering Exemption and Gets Banned from Industry
