{"id":1016,"date":"2020-01-03T09:42:18","date_gmt":"2020-01-03T09:42:18","guid":{"rendered":"http:\/\/localhost\/?p=1016"},"modified":"2020-02-11T21:37:09","modified_gmt":"2020-02-11T21:37:09","slug":"issue-and-spinning-rules-comment-now-on-sec-advertising-and-cash-solicitation-rule-changes-cftc-simplifies-cpocta-registration-exemptions-actively-managed-etfs-clear-regulatory-barrier","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2020\/01\/03\/issue-and-spinning-rules-comment-now-on-sec-advertising-and-cash-solicitation-rule-changes-cftc-simplifies-cpocta-registration-exemptions-actively-managed-etfs-clear-regulatory-barrier\/","title":{"rendered":"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"},"content":{"rendered":"<p>January Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopsfenperger<\/a>\u00a0at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.federalregister.gov\/documents\/2019\/11\/12\/2019-24494\/self-regulatory-organizations-financial-industry-regulatory-authority-inc-notice-of-filing-of\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules<\/a><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/cgi-bin\/ruling-comments\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">The Clock is Ticking: Comment Period on Proposed Amendments to Advertising Rule Ends February 10, 2020<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.cftc.gov\/sites\/default\/files\/2019\/12\/2019-26162a.pdf?utm_source=govdelivery\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">CFTC Approves CPO &amp; CTA Exemptions from Registration for Qualifying Family Offices and BDCs, Simplifies Reporting Obligations<\/a><\/li>\n<li>Regulatory Baby Steps: SEC Approves Four New Semi-Transparent Active ETFs<\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/exchange-traded-funds-small-entity-compliance-guide\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>SEC Publishes Small Entity Compliance Guide on New ETF Rule<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/electronic-filing-systems\/exemptions.html\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>Advisers Relying on Exemptions from CPO or CTA Registration Should Mark their Calendars for February 29<\/strong><\/a><\/li>\n<li>Lessons Learned from SEC and FINRA Cases:\u00a0<a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5416.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">The Case Against Putting all your Eggs in One Basket<\/a>;\u00a0<strong><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5412.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Caught Between a Rock and a Hard Place<\/a>;\u00a0<a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/34-87680.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Jefferies Caught in SEC Investigation Over ADR Pre-Release Abuses and Fined $1.25 million<\/a><\/strong><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/sec-agrees-to-broaden-exemptions-to-new-issue-and-spinning-rules-comment-now-on-sec-advertising-and-cash-solicitation-rule-changes-cftc-simplifies-cpo-cta-registration-exemptions-actively-managed-e\/\">Read more here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>January Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at 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 &amp; CTA Exemptions from Registration for Qualifying Family Offices and BDCs, Simplifies Reporting Obligations Regulatory &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2020\/01\/03\/issue-and-spinning-rules-comment-now-on-sec-advertising-and-cash-solicitation-rule-changes-cftc-simplifies-cpocta-registration-exemptions-actively-managed-etfs-clear-regulatory-barrier\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">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<\/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":[23,21,22],"tags":[],"class_list":["post-1016","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1016","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=1016"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1016\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1016"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1016"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1016"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}