Category Archives: Regulatory

What’s Next?: Regulatory Update for November 2019

Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

Read the full update here.

 

SEC’s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019

Cari Hopfensperger at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases.  Topics include:

Read more here.

 

 

 

 

Filing Deadlines and To-Do List for November 2019

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

SEC Regulation Best Interest: Five concrete steps for compliance

On June 5, the U.S. Securities and Exchange Commission (SEC) approved its highly anticipated package of rulemakings and interpretive guidance relating to the standards of care applicable to financial professionals when making recommendations and providing investment advice to retail investors.

Included in this package was the SEC’s new Regulation Best Interest, which will likely require transformative changes for much of the retail brokerage industry.

With an effective date of June 30, 2020, what concrete steps should broker-dealers consider taking as they work toward compliance by the deadline?

Read more here.

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:

Read the full post here