November Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
Topics include:
- Annual Renewal Program for IARD System
- Let the 2019 CRD Renewal Program Begin
- FINRA Regulatory Notice 18-32 – OTC Equity Quotations
- SEC Allows Mutual Fund Boards to Rely on CCOs for Compliance with Affiliate Transaction Rules
- Adoption of Updated EDGAR Filer Manual
- NFA Issues Interpretive Notice on Rule 2-46 on Avoiding Errors
- Failure to pay Annual Dues Can Lead to Automatic Withdrawal from NFA
- SEC Sees through Scheme to Circumvent Cross Trading Rules
- SEC Forces Adviser to Reimburse Clients for 12b-1 Payments and Disclosure Failures
