{"id":1110,"date":"2021-03-08T20:13:14","date_gmt":"2021-03-08T20:13:14","guid":{"rendered":"http:\/\/localhost\/?p=1110"},"modified":"2021-03-09T20:21:18","modified_gmt":"2021-03-09T20:21:18","slug":"dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/03\/08\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\/","title":{"rendered":"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \u2013 NCAA Players Scammed"},"content":{"rendered":"<p>March\u00a0Regulatory 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.govinfo.gov\/content\/pkg\/FR-2020-12-18\/pdf\/2020-27825.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Not Quite Dead Yet \u2013 DOL\u2019s Fiduciary Rule Rises Again!<\/a><\/li>\n<li><a href=\"https:\/\/www.whitehouse.gov\/briefing-room\/presidential-actions\/2021\/01\/20\/regulatory-freeze-pending-review\/\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Regulatory Limbo \u2013 Freeze Impacts on RIAs and Investment Companies<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/guidance\/reports\/2021-finras-examination-and-risk-monitoring-program\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2021-02\/Regulatory-Notice-21-03.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Warns of Risks when Engaging in Low-Priced Securities Business<\/a><\/li>\n<li><a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/8277-20\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">CFTC Amends Form CPO-PQR<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/33-10924.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Payment for Order Flow Gets Another Broker into Hot Water for Undisclosed Conflicts<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2020\/34-90790.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Multiple Disclosure Failures Lead to $18 Million Fine for Wrap Sponsor<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/ia-5680.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">March Madness \u2013 RIA Bribed Agents to Recruit NCAA Player Clients<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/ia-5670.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Heed the Advice of Your CCO<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed-regulatory-update-for-march-2021\/\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>March\u00a0Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: Not Quite Dead Yet \u2013 DOL\u2019s Fiduciary Rule Rises Again! Regulatory Limbo \u2013 Freeze Impacts on RIAs and Investment Companies FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report FINRA Warns of Risks when Engaging in Low-Priced Securities Business CFTC Amends Form CPO-PQR Payment for &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/03\/08\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \u2013 NCAA Players Scammed<\/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,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1110","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"March Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. 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Regulatory Limbo \u2013 Freeze Impacts on RIAs and Investment Companies FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report FINRA Warns of Risks when Engaging in Low-Priced Securities Business CFTC Amends Form CPO-PQR Payment for\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2021\/03\/08\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2021-03-08T20:13:14+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2021-03-09T20:21:18+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \u2013 NCAA Players Scammed | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"March Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. 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Regulatory Limbo \u2013 Freeze Impacts on RIAs and Investment Companies FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report FINRA Warns of Risks when Engaging in Low-Priced Securities Business CFTC Amends Form CPO-PQR Payment for\" \/>\n\t\t<script type=\"application\/ld+json\" class=\"aioseo-schema\">\n\t\t\t{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#article\",\"name\":\"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \\u2013 NCAA Players Scammed | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"headline\":\"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \\u2013 NCAA Players Scammed\",\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/carihopfensperger\\\/#author\"},\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"},\"datePublished\":\"2021-03-08T20:13:14+00:00\",\"dateModified\":\"2021-03-09T20:21:18+00:00\",\"inLanguage\":\"en-US\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#webpage\"},\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#webpage\"},\"articleSection\":\"Compliance, Enforcement, Regulatory, Standard of Care\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#breadcrumblist\",\"itemListElement\":[{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/bdia.pli.edu\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"position\":2,\"name\":\"Compliance\",\"item\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#listItem\",\"name\":\"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \\u2013 NCAA Players Scammed\"},\"previousItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"name\":\"Home\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#listItem\",\"position\":3,\"name\":\"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \\u2013 NCAA Players Scammed\",\"previousItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}}]},{\"@type\":\"Organization\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\",\"name\":\"Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/\"},{\"@type\":\"Person\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/carihopfensperger\\\/#author\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/carihopfensperger\\\/\",\"name\":\"Cari Hopfensperger\",\"image\":{\"@type\":\"ImageObject\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#authorImage\",\"url\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/bd9670e5d6a60989e568f335a0a1f653d0228505af5d8c753452de40b2618723?s=96&d=mm&r=g\",\"width\":96,\"height\":96,\"caption\":\"Cari Hopfensperger\"}},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/#webpage\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2021\\\/03\\\/08\\\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\\\/\",\"name\":\"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \\u2013 NCAA Players Scammed | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"description\":\"March Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. 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Topics include: Not Quite Dead Yet \u2013 DOL\u2019s Fiduciary Rule Rises Again! Regulatory Limbo \u2013 Freeze Impacts on RIAs and Investment Companies FINRA Publishes 2021 Enforcement Priorities and Exam Findings Report FINRA Warns of Risks when Engaging in Low-Priced Securities Business CFTC Amends Form CPO-PQR Payment for","og:url":"https:\/\/bdia.pli.edu\/index.php\/2021\/03\/08\/dol-fiduciary-rule-rises-again-regulatory-freeze-continues-march-madness-ncaa-players-scammed\/","article:published_time":"2021-03-08T20:13:14+00:00","article:modified_time":"2021-03-09T20:21:18+00:00","twitter:card":"summary_large_image","twitter:title":"DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, March Madness \u2013 NCAA Players Scammed | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"March Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. Topics include: Not Quite Dead Yet \u2013 DOL\u2019s Fiduciary Rule Rises Again! 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