{"id":1001,"date":"2019-12-03T21:17:03","date_gmt":"2019-12-03T21:17:03","guid":{"rendered":"http:\/\/localhost\/?p=1001"},"modified":"2020-02-11T21:32:49","modified_gmt":"2020-02-11T21:32:49","slug":"sec-enforcement-report-comes-down-hard-on-advisers-your-chance-to-sound-off-about-the-secs-proposed-advertising-mutual-funds-placed-on-secs-naughty","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/12\/03\/sec-enforcement-report-comes-down-hard-on-advisers-your-chance-to-sound-off-about-the-secs-proposed-advertising-mutual-funds-placed-on-secs-naughty\/","title":{"rendered":"SEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC\u2019s Proposed Advertising &#038; Cash Solicitation Rule Changes; Mutual Funds Placed on SEC\u2019s Naughty List"},"content":{"rendered":"<p>December\u00a0Regulatory Updates from <a href=\"https:\/\/www.hardincompliance.com\/our-firm\/the-team\/cari-a-hopfensperger\/\">Cari A. Hopfensperger<\/a>,\u00a0and colleagues,\u00a0at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/files\/enforcement-annual-report-2019.pdf\">SEC Declares Victory for 2019 Despite all Obstacles: Division of Enforcement Publishes Annual Report for Fiscal Year 2019<\/a><\/li>\n<li><a href=\"https:\/\/leginfo.legislature.ca.gov\/faces\/billTextClient.xhtml?bill_id=201720180SB1121\">California Has Bigger Fish to Fry with its new Consumer Privacy Act<\/a><\/li>\n<li><a href=\"https:\/\/sos.nh.gov\/Sec_Reg.aspx\">New Hampshire to Terminate RIA and BD Firms for Late Renewals<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/registration-exams-ce\/broker-dealers\/annual-renewal\">2020 CRD\/<\/a> <a href=\"https:\/\/www.iard.com\/renewal-program\">IARD <\/a>Renewal Programs<\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2019-230\">Speak Now or Forever Hold Your Peace! It\u2019s Your Chance to Comment on the SEC\u2019s Advertising and Cash Solicitation Rule Change<\/a>s<\/li>\n<li><em><a href=\"https:\/\/www.cfainstitute.org\/en\/ethics\/codes\/gips-standards\">Reminder: GIPS 2020<\/a><\/em><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/resources\/regbi-formcrs\/form-crs-relationship-summary\/\">Form CRS Template<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/sifma-110419\">SEC Extends SIFMA Temporary No-Action Letter <\/a>Until July 3, 2023<em>\u00a0 <\/em><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/divisions\/marketreg\/mr-noaction\/2019\/paxos-trust-company-102819-17a.pdf\">SEC Dips its Toe into the Water with Blockchain<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/Risk%20Alert%20-%20Money%20Market%20Fund%20and%20Target%20Date%20Fund%20Initiatives.pdf\">Investment Companies Placed on the SEC&#8217;s Naughty List<\/a><\/li>\n<li>Small Fund Family Liquidity Risk Management Programs<\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/registration-membership\/how-to-register\/swap-proficiency-requirements-administrators.html\">NFA Requires Firms to Appoint Swaps Proficiency Requirement Administrator<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/newsNotice.asp?ArticleID=5176\">Amendments to NFA Promotional Material Rules and Interpretive Notices<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/sec-enforcement-report-comes-down-hard-on-advisers-your-chance-to-sound-off-about-the-secs-proposed-advertising-mutual-funds-placed-on-secs-naughty\/\">Read more here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>December\u00a0Regulatory Updates from Cari A. Hopfensperger,\u00a0and colleagues,\u00a0at Hardin Compliance Consulting LLC. Topics include: SEC Declares Victory for 2019 Despite all Obstacles: Division of Enforcement Publishes Annual Report for Fiscal Year 2019 California Has Bigger Fish to Fry with its new Consumer Privacy Act New Hampshire to Terminate RIA and BD Firms for Late Renewals 2020 &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/12\/03\/sec-enforcement-report-comes-down-hard-on-advisers-your-chance-to-sound-off-about-the-secs-proposed-advertising-mutual-funds-placed-on-secs-naughty\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC\u2019s Proposed Advertising &#038; Cash Solicitation Rule Changes; Mutual Funds Placed on SEC\u2019s Naughty List<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":90,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[24],"tags":[],"class_list":["post-1001","post","type-post","status-publish","format-standard","hentry","category-enforcement"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"December Regulatory Updates from Cari A. 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Hopfensperger, and colleagues, at Hardin Compliance Consulting LLC. 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Hopfensperger, and colleagues, at Hardin Compliance Consulting LLC. Topics include: SEC Declares Victory for 2019 Despite all Obstacles: Division of Enforcement Publishes Annual Report for Fiscal Year 2019 California Has Bigger Fish to Fry with its new Consumer Privacy Act New Hampshire to Terminate RIA and BD Firms for Late Renewals 2020"},"aioseo_meta_data":{"post_id":"1001","title":null,"description":null,"keywords":null,"keyphrases":null,"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":null,"og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":null,"robots_max_videopreview":null,"robots_max_imagepreview":"large","priority":null,"frequency":null,"local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":null,"created":"2024-11-01 17:51:10","updated":"2025-10-11 03:24:25","seo_analyzer_scan_date":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/enforcement\/\" title=\"Enforcement\">Enforcement<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tSEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC\u2019s Proposed Advertising &amp; Cash Solicitation Rule Changes; Mutual Funds Placed on SEC\u2019s Naughty List\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Enforcement","link":"https:\/\/bdia.pli.edu\/index.php\/category\/enforcement\/"},{"label":"SEC Enforcement Report Comes Down Hard on Advisers; Your Chance to Sound Off About the SEC\u2019s Proposed Advertising &#038; Cash Solicitation Rule Changes; Mutual Funds Placed on SEC\u2019s Naughty List","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/12\/03\/sec-enforcement-report-comes-down-hard-on-advisers-your-chance-to-sound-off-about-the-secs-proposed-advertising-mutual-funds-placed-on-secs-naughty\/"}],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1001","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/90"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1001"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1001\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1001"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1001"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1001"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}