December Regulatory Updates from Cari A. Hopfensperger, and colleagues, at Hardin Compliance Consulting LLC.

Topics include:

• SEC Declares Victory for 2019 Despite all Obstacles: Division of Enforcement Publishes Annual Report for Fiscal Year 2019
• California Has Bigger Fish to Fry with its new Consumer Privacy Act
• New Hampshire to Terminate RIA and BD Firms for Late Renewals
• 2020 CRD/ IARD Renewal Programs
• Speak Now or Forever Hold Your Peace! It’s Your Chance to Comment on the SEC’s Advertising and Cash Solicitation Rule Changes
• Reminder: GIPS 2020
• Form CRS Template
• SEC Extends SIFMA Temporary No-Action Letter Until July 3, 2023 
• SEC Dips its Toe into the Water with Blockchain
• Investment Companies Placed on the SEC’s Naughty List
• Small Fund Family Liquidity Risk Management Programs
• NFA Requires Firms to Appoint Swaps Proficiency Requirement Administrator
• Amendments to NFA Promotional Material Rules and Interpretive Notices

Read more here