September Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
Topics include:
- IRS Ruling Allows Advisers to be Paid out of Fee-Based Annuities
- At Long Last… the SEC provides Guidance on Voting Client Proxies
- What’s New with Regulation Best Interest and Form CRS Relationship Summary?
- States Continue to Find Trouble Brewing in Crypto Markets
- Do You Need to Register as a Municipal Advisor?
- SEC Staff Issues No-Action Letter on Hiring Affiliated Sub-Advisers without Shareholder Approval
- New Dues for CPO/CTAs Engaged in Swap Activities
- Ignorance is not Bliss – NFA Takes Emergency Enforcement Action Against Walnut Creek, CA-Based CPO/CTA
- SEC Sanctions Levied Against Boston-Based Adviser for Breach of Fiduciary Duty to Senior Client
- Broker’s Clean Record of 32 Years Tarnished by SEC Insider Trading Fine
- The Other Shoe Drops… SEC Files Case Against Commonwealth Financial for Disclosure Failures for Revenue Sharing After Settling Charges in 12b-1 Sweep
- The Bigger the Conflict, the Bigger the Disclosure
