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
