Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
Topics include:
- Reg S-P Compliance Violations Spelled out by SEC
- Heads Up! Massachusetts Amended the Data Breach Notification Law
- Ohio Requires Registered Reps and Investment Adviser Reps to Report Elder Abuse
- SEC Issues Digital Asset Analysis and No-Action Letter
- FINRA Issues Guidance for Communications with Customers Regarding Departing Representatives
- Attention Underwriting Syndicate Members who enter into Backstop Agreements
- FINRA Will Permit the Use of Electronic Signatures for Discretionary Accounts
- SEC Issues Guidance on Mutual Fund Reporting Requirements
- Liquidity Risk Management FAQs Updated
- NFA updated its Self Examination Questionnaire to assist firms in preparing for 2-9
- Ever Wonder What Happens if Your Firm Blows the Private Offering Exemption?
- Google Searches and Phone Calls Don’t Count as Extensive Due Diligence
- When Absolute Power Corrupts Absolutely
- FINRA Gives Broker-Dealer an “F” in Email Review
