{"id":1331,"date":"2023-02-21T16:44:45","date_gmt":"2023-02-21T16:44:45","guid":{"rendered":"http:\/\/localhost\/?p=1331"},"modified":"2023-03-24T14:42:41","modified_gmt":"2023-03-24T14:42:41","slug":"secs-amendments-to-rule-10b5-1-and-new-state-privacy-laws-aca-regulatory-updates","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2023\/02\/21\/secs-amendments-to-rule-10b5-1-and-new-state-privacy-laws-aca-regulatory-updates\/","title":{"rendered":"SEC\u2019s amendments to Rule 10b5-1 and new state privacy laws &#8212; ACA Regulatory Updates"},"content":{"rendered":"<p>February Regulatory Updates from <a href=\"https:\/\/www.linkedin.com\/in\/chopfensperger\/\">Cari Hopfensperger <\/a>at ACA\u00a0Group:<\/p>\n<p><strong>Topics include:<\/strong><\/p>\n<ul>\n<li>News for All Firms\n<ul>\n<li>SEC Amends Rule 10b5-1 Restricting Insider Trading<\/li>\n<li>State Privacy &#8220;Class of 2023&#8221; &#8211; Several New Privacy Laws Taking Effect<\/li>\n<\/ul>\n<\/li>\n<li>News for Investment Advisers\n<ul>\n<li>10 States Now Require IARs to Complete Annual Continuing Education<\/li>\n<li>Form 13F Amendments to Make Data More Usable Take Effect<\/li>\n<\/ul>\n<\/li>\n<li>News for CPOs\/CTAs\n<ul>\n<li>NFA Reminds Members to Confirm Exemption Status of Entities They Do Business With<\/li>\n<\/ul>\n<\/li>\n<li>\u202fLessons Learned\n<ul>\n<li>SEC Fines Service Provider $5 Million for Securities Fraud: Service Providers Beware!<\/li>\n<li>I&#8217;m Ready for My Close-Up: Former PM Leverages Investment to Get His Daughter in the Movies<\/li>\n<li>Adviser Keeps Revenue Sharing on the Down Low &#8211; and Gets SEC Smackdown<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.acaglobal.com\/insights\/us-regulatory-update-february-2023-edition\">Read more here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>February Regulatory Updates from Cari Hopfensperger at ACA\u00a0Group: Topics include: News for All Firms SEC Amends Rule 10b5-1 Restricting Insider Trading State Privacy &#8220;Class of 2023&#8221; &#8211; Several New Privacy Laws Taking Effect News for Investment Advisers 10 States Now Require IARs to Complete Annual Continuing Education Form 13F Amendments to Make Data More Usable &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2023\/02\/21\/secs-amendments-to-rule-10b5-1-and-new-state-privacy-laws-aca-regulatory-updates\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC\u2019s amendments to Rule 10b5-1 and new state privacy laws &#8212; ACA Regulatory Updates<\/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-1331","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=\"February Regulatory Updates from Cari Hopfensperger at ACA Group: Topics include: News for All Firms SEC Amends Rule 10b5-1 Restricting Insider Trading State Privacy &quot;Class of 2023&quot; - Several New Privacy Laws Taking Effect News for Investment Advisers 10 States Now Require IARs to Complete Annual Continuing Education Form 13F Amendments to Make Data More Usable\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Cari Hopfensperger\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2023\/02\/21\/secs-amendments-to-rule-10b5-1-and-new-state-privacy-laws-aca-regulatory-updates\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.8\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"SEC\u2019s amendments to Rule 10b5-1 and new state privacy laws \u2014 ACA Regulatory Updates | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"February Regulatory Updates from Cari Hopfensperger at ACA Group: Topics include: News for All Firms SEC Amends Rule 10b5-1 Restricting Insider Trading State Privacy &quot;Class of 2023&quot; 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