January Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules
- The Clock is Ticking: Comment Period on Proposed Amendments to Advertising Rule Ends February 10, 2020
- CFTC Approves CPO & CTA Exemptions from Registration for Qualifying Family Offices and BDCs, Simplifies Reporting Obligations
- Regulatory Baby Steps: SEC Approves Four New Semi-Transparent Active ETFs
- SEC Publishes Small Entity Compliance Guide on New ETF Rule
- Advisers Relying on Exemptions from CPO or CTA Registration Should Mark their Calendars for February 29
- Lessons Learned from SEC and FINRA Cases: The Case Against Putting all your Eggs in One Basket; Caught Between a Rock and a Hard Place; Jefferies Caught in SEC Investigation Over ADR Pre-Release Abuses and Fined $1.25 million