December Regulatory Updates from Cari Hopsfenperger at Foreside.
Topics include:
- SEC Withdraws Several No-Action Letters related to Marketing Rule.
- 2021 Compliance Outreach Program Regional Seminars for Investment Advisor and Investment Company Senior Officers.
- Risk Alert – Observations from Examinations in the Registered Investment Company Initiatives
- The Renewal Process Continues
- FINRA Annual Renewal Overview
- IARD Renewal Program Overview
