February Regulatory Updates from Cari Hopfensperger at ACA Group:
Topics include:
- News for All Firms
- SEC Amends Rule 10b5-1 Restricting Insider Trading
- State Privacy “Class of 2023” – Several New Privacy Laws Taking Effect
- News for Investment Advisers
- 10 States Now Require IARs to Complete Annual Continuing Education
- Form 13F Amendments to Make Data More Usable Take Effect
- News for CPOs/CTAs
- NFA Reminds Members to Confirm Exemption Status of Entities They Do Business With
- Lessons Learned
- SEC Fines Service Provider $5 Million for Securities Fraud: Service Providers Beware!
- I’m Ready for My Close-Up: Former PM Leverages Investment to Get His Daughter in the Movies
- Adviser Keeps Revenue Sharing on the Down Low – and Gets SEC Smackdown
