Legal Perspectives on Current Regulatory Developments for BDs and IAs

Legal Perspectives on Current Regulatory Developments for BDs and IAs

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Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts

November 2, 2018 BDIA Editors Leave a comment

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

Read the full post here.

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Clifford E. Kirsch, Editor

Eversheds Sutherland

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

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