Issue and Spinning Rules; Comment Now on SEC Advertising and Cash Solicitation Rule Changes; CFTC Simplifies CPO/CTA Registration Exemptions; Actively-Managed ETFs Clear Regulatory Barrier

January Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

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Filing Deadlines and To-Do List for December 2019

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

SEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC’s Proposed Advertising & Cash Solicitation Rule Changes; Mutual Funds Placed on SEC’s Naughty List

December Regulatory Updates from Cari A. Hopfensperger, and colleagues, at Hardin Compliance Consulting LLC.

Topics include:

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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.