All posts by BDIA Editors

Compliance, Regulatory, Standard of Care

Filing Deadlines and To-Do List for November 2019

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Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:

Compliance, Enforcement, Regulatory, Standard of Care

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

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

Topics include:

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Compliance, Enforcement, Regulatory, Standard of Care

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

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Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.

Topics include:

Read the full post here

Compliance, Enforcement, Regulatory, Standard of Care

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

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Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.

Topics include:

Compliance, Regulatory, Standard of Care

New BD IA Fiduciary Rules Proposed by Nevada

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On January 18th, Nevada’s Office of the Secretary of State, Securities Division, released draft regulations pursuant to the amended Nevada financial planner statute.  The proposed new fiduciary rules are open for comment until March 5th.

This Morgan Lewis LawFlash outlines the key provisions in Nevada’s draft regulation and discusses, among other topics, when the regulation would be effective, when fiduciary duty would apply, and what conduct would be considered a fiduciary breach under the proposal.