Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Between a Rock and a Hard Place: SEC’s FAQs on Conflicts of Interest and Recent Settlements Set Bar Impossibly High for Advisers
- RIAs — Get our Your Checkbooks! It’s Time to Fund Your Annual Renewal Accounts on IARD
- SEC Establishes Asset Management Advisory Committee
- $$ The 2020 Annual Renewal Program is Underway $$
- FINRA Wants to Know if Broker-Dealers are Ready for Regulation Best Interest
- Attention Underwriters, Syndicate Managers and Members, and Selling Group Members
- Does Your Firm Issue Investment Fund Research Reports?
- FINRA 2019 Industry Snapshot
- 2019 Report on FINRA Examination Findings and Observations
- Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets
- SEC Adopts New ETF Rule and Modernizes ETF Regulations
- Notice to Mutual Fund Managers – Review your Performance and Related Disclosures
- NFA Updates Rules on Supervision