By all accounts, 2019 will see the advancement of a number of fiduciary and best interest investment advice regulations at both the federal and state levels. Firms subject to these regulations will face challenges in dealing with rules that will impose a host of new obligations, and that may overlap and conflict with one another. Eversheds Sutherland has developed a chart that is intended to help firms take stock of the evolving framework and aid firms in putting the pieces together.
Monthly Archives: April 2019
SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, and New Testing for Swap Traders
Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
- Mr. Blue Skies: A Primer on Form D and Blue Sky filings
- Speak Now or Forever Hold Your Peace — SEC Asks for Help on the Custody Rule
- Keeping up with FINRA’s 529 Plan Share Class Initiative
- Registration Required If Your Firm Handles Orders in NMS Stocks, OTC Equity Securities, or Listed Options: Rule 613
- Attention FINOPs – How To Report Operating Leases on FOCUS Filings
- Does Your Firm Publish Quotations in Unregistered Securities of Foreign Private Issuers?
- Modifications to Form N-PORT
- No Action Letter to the Independent Directors Council relaxes certain in-person voting requirements for fund boards
- MSRB Announces Effective Date for Amended Advertising Rules
- NFA to Require Swap Proficiency Testing
- Advisor Slammed for Charging Some Clients More for Same Services
- SEC Share Class Initiative Returning More Than $125 Million to Investors