Broker-Dealer 2018 Regulatory Year in Review

Jaqueline Hummel at Hardin Compliance Consulting LLC has shared Hardin’s list of rules, enforcement actions and regulatory developments for broker-dealers from 2018.

Highlights include:

2018 New & Amended Rules

2018 Notable Regulatory Enforcement Actions

2018 Cryptocurrency Developments

2018 Notable Regulatory Announcements

2019 Upcoming Rule Amendments

Read the full post here.





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