{"id":1115,"date":"2021-04-08T16:27:46","date_gmt":"2021-04-08T16:27:46","guid":{"rendered":"http:\/\/localhost\/?p=1115"},"modified":"2021-04-09T14:48:25","modified_gmt":"2021-04-09T14:48:25","slug":"regulatory-spring-cleaning-sec-publishes-marketing-rule-faq-and-2021-examination-priorities-and-exams-risk-alert-tackles-bitcoin-and-other-digital-assets","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/04\/08\/regulatory-spring-cleaning-sec-publishes-marketing-rule-faq-and-2021-examination-priorities-and-exams-risk-alert-tackles-bitcoin-and-other-digital-assets\/","title":{"rendered":"Regulatory Spring Cleaning! SEC Publishes Marketing Rule FAQ and 2021 Examination Priorities, and EXAMS Risk Alert Tackles Bitcoin and Other Digital Assets"},"content":{"rendered":"<p>April\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><strong><a href=\"https:\/\/www.sec.gov\/files\/digital-assets-risk-alert.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Risk Alert \u2013 Division of Examinations\u2019 Continued Focus on Digital Asset Securities<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/files\/2021-exam-priorities.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Presents its 2021 Examination Priorities<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/marketing-faq\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>SEC Says New Marketing Rule is \u201cAll or Nothing\u201d<\/strong><\/a><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/divisions\/investment\/13ffaq.htm\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Updates 13F FAQ to Reflect Amended Reg S-T and the Use of Electronic Signatures on EDGAR filings<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/21-10\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Reg Notice 21-10, Private Placement Filer Form<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/investment\/good-faith-determinations-fair-value-secg\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Publishes Small Entity Compliance Guide on Good Faith Determinations of Fair Value<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/33-10932.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Private Fund Manager Blows Private Offering Exemption and Gets Banned from Industry<\/a><\/strong><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/regulatory-spring-cleaning-sec-publishes-marketing-rule-faq-and-2021-examination-priorities-and-exams-risk-alert-tackles-bitcoin-and-other-digital-assets-regulatory-update-for-april-2021\/\">Read more here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>April\u00a0Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: Risk Alert \u2013 Division of Examinations\u2019 Continued Focus on Digital Asset Securities SEC Presents its 2021 Examination Priorities SEC Says New Marketing Rule is \u201cAll or Nothing\u201d SEC Updates 13F FAQ to Reflect Amended Reg S-T and the Use of Electronic Signatures on EDGAR filings &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/04\/08\/regulatory-spring-cleaning-sec-publishes-marketing-rule-faq-and-2021-examination-priorities-and-exams-risk-alert-tackles-bitcoin-and-other-digital-assets\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Regulatory Spring Cleaning! SEC Publishes Marketing Rule FAQ and 2021 Examination Priorities, and EXAMS Risk Alert Tackles Bitcoin and Other Digital Assets<\/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":[23,24,21,22],"tags":[],"class_list":["post-1115","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 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"April Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. 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Topics include: Risk Alert \u2013 Division of Examinations\u2019 Continued Focus on Digital Asset Securities SEC Presents its 2021 Examination Priorities SEC Says New Marketing Rule is \u201cAll or Nothing\u201d SEC Updates 13F FAQ to Reflect Amended Reg S-T and the Use of Electronic Signatures on EDGAR filings\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2021\/04\/08\/regulatory-spring-cleaning-sec-publishes-marketing-rule-faq-and-2021-examination-priorities-and-exams-risk-alert-tackles-bitcoin-and-other-digital-assets\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2021-04-08T16:27:46+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2021-04-09T14:48:25+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Regulatory Spring Cleaning! 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Topics include: Risk Alert \u2013 Division of Examinations\u2019 Continued Focus on Digital Asset Securities SEC Presents its 2021 Examination Priorities SEC Says New Marketing Rule is \u201cAll or Nothing\u201d SEC Updates 13F FAQ to Reflect Amended Reg S-T and the Use of Electronic Signatures on EDGAR filings","og:url":"https:\/\/bdia.pli.edu\/index.php\/2021\/04\/08\/regulatory-spring-cleaning-sec-publishes-marketing-rule-faq-and-2021-examination-priorities-and-exams-risk-alert-tackles-bitcoin-and-other-digital-assets\/","article:published_time":"2021-04-08T16:27:46+00:00","article:modified_time":"2021-04-09T14:48:25+00:00","twitter:card":"summary_large_image","twitter:title":"Regulatory Spring Cleaning! SEC Publishes Marketing Rule FAQ and 2021 Examination Priorities, and EXAMS Risk Alert Tackles Bitcoin and Other Digital Assets | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"April Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. Topics include: Risk Alert \u2013 Division of Examinations\u2019 Continued Focus on Digital Asset Securities SEC Presents its 2021 Examination Priorities SEC Says New Marketing Rule is \u201cAll or Nothing\u201d SEC Updates 13F FAQ to Reflect Amended Reg S-T and the Use of Electronic Signatures on EDGAR filings"},"aioseo_meta_data":{"post_id":"1115","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 17:51:09","updated":"2025-10-11 03:37:21","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\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tRegulatory Spring Cleaning! 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