{"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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1331","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=1331"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1331\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1331"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1331"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1331"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}