{"id":1004,"date":"2019-12-03T21:34:25","date_gmt":"2019-12-03T21:34:25","guid":{"rendered":"http:\/\/localhost\/?p=1004"},"modified":"2019-12-03T21:34:25","modified_gmt":"2019-12-03T21:34:25","slug":"lessons-learned-from-sec-and-finra-cases-for-december-2019","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/12\/03\/lessons-learned-from-sec-and-finra-cases-for-december-2019\/","title":{"rendered":"Lessons Learned from SEC and FINRA Cases for December 2019"},"content":{"rendered":"<p>SEC and FINRA case updates from our friends at Hardin Compliance Consulting LLC.\u00a0 Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/34-87100.pdf\">What We\u2019ve Got Here is a Failure to Communicate<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2019-10\/forte-action-102119.pdf\">Respect Your Elders<\/a>!<\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/33-10726.pdf\">Garbage In, Garbage Out: Morgan Stanley\u2019s Epic Fail Caused by Flawed Tools and User Error<\/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>SEC and FINRA case updates from our friends at Hardin Compliance Consulting LLC.\u00a0 Topics include: What We\u2019ve Got Here is a Failure to Communicate Respect Your Elders! Garbage In, Garbage Out: Morgan Stanley\u2019s Epic Fail Caused by Flawed Tools and User Error Read more here.<\/p>\n","protected":false},"author":14,"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":[23,24],"tags":[],"class_list":["post-1004","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1004","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\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1004"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1004\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1004"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1004"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1004"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}