December Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
- Risk Alert – Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
- SEC Enforcement Division Issues Report on FY 2018 Results
- BDs and RIAs, Mark Your Calendars for December 17, 2018
- SEC Approves Amendments to the Financial Reporting Requirements impact FOCUS and Annual Audit Requirements
- Heads-up BDs – Regulation NMS Amended to Require Additional Disclosures on Order Handling
- OCIE Risk-Based Exam Initiatives for Investment Companies
- Investment Company Reporting Modernization Frequently Asked Questions
- Save some Trees! Optional Internet Availability of Investment Company Shareholder Reports
- CFIUS Establishes Critical Technology Pilot Program – Impacts on Investment Funds
- Case regarding Thaddeus J. North, CCO, appeal from FINRA Disciplinary Action
- CEO Hit with SEC Fine for Failing to Support Compliance Program
- SEC Issues What May be the First of Many Enforcement Actions Regarding Unregistered Exchanges Trading Digital Assets
- Terminator 2: Judgment Day – same make, same model, new mission!