All posts by BDIA Editors

Fee-Based Annuities Get a Boost, More Resources on Reg BI and Form CRS, States get Tough on Crypto Scams, SEC Speaks on Proxy Voting, Gets Tough to Protect Vulnerable Adults and Drops the Other Shoe on Revenue Sharing

September Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.

Topics include:

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Learn How the SEC Works. . .

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws.  Join us on October 17th, at this half-day program, to learn about the federal securities laws and the operating divisions at the SEC that administer those laws, as well as the other agencies that the SEC interacts with on a regular basis.

Securities Law and Practice 2019

OCIE Lists Privacy Blunders; SEC Explains When Digital Assets become Securities; Ohio Mandates IARs and RR to Report Elder Abuse; FINRA Gives Broker an “F” in Email Review; and Google Searches Don’t Count as Due Diligence

Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.

Topics include:

Read the full post here

SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, and New Testing for Swap Traders

Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.

Topics include: