Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
Topics include:
- Mr. Blue Skies: A Primer on Form D and Blue Sky filings
- Speak Now or Forever Hold Your Peace — SEC Asks for Help on the Custody Rule
- Keeping up with FINRA’s 529 Plan Share Class Initiative
- Registration Required If Your Firm Handles Orders in NMS Stocks, OTC Equity Securities, or Listed Options: Rule 613
- Attention FINOPs – How To Report Operating Leases on FOCUS Filings
- Does Your Firm Publish Quotations in Unregistered Securities of Foreign Private Issuers?
- Modifications to Form N-PORT
- No Action Letter to the Independent Directors Council relaxes certain in-person voting requirements for fund boards
- MSRB Announces Effective Date for Amended Advertising Rules
- NFA to Require Swap Proficiency Testing
- Advisor Slammed for Charging Some Clients More for Same Services
- SEC Share Class Initiative Returning More Than $125 Million to Investors
