March Regulatory Updates from Cari Hopfensperger at ACA Group:
- PTE 2020-02 Court Case: Federal Court Strikes Down DOL’s Interpretation of “Regular Basis”
- SEC Shortens Settlement Cycle to T+ 1
- Be Careful what You Wish For – Massive Changes to Custody Rule Proposed by SEC
- Amendments to Rule 17a-4 Electronic Recordkeeping Requirement
Plus, To Do Checklists for March and April 2023, and more here.
