{"id":1344,"date":"2023-03-23T14:43:15","date_gmt":"2023-03-23T14:43:15","guid":{"rendered":"http:\/\/localhost\/?p=1344"},"modified":"2023-03-24T14:58:34","modified_gmt":"2023-03-24T14:58:34","slug":"shortened-settlement-cycles-form-adv-amendments-and-hackers-impact-derivatives-market-regulatory-update-for-march-2023","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2023\/03\/23\/shortened-settlement-cycles-form-adv-amendments-and-hackers-impact-derivatives-market-regulatory-update-for-march-2023\/","title":{"rendered":"Shortened Settlement Cycles, Form ADV Amendments and Hackers Impact Derivatives Market: Regulatory Update for March 2023"},"content":{"rendered":"<p>March Regulatory Updates from\u00a0<a href=\"https:\/\/www.linkedin.com\/in\/chopfensperger\/\">Cari Hopfensperger\u00a0<\/a>at ACA\u00a0Group:<\/p>\n<ul>\n<li><a href=\"https:\/\/casetext.com\/case\/am-sec-assn-v-united-states-dept-of-labor\"><strong>PTE 2020-02 Court Case: Federal Court Strikes Down DOL&#8217;s Interpretation of &#8220;Regular Basis&#8221;<\/strong><\/a><strong>\u00a0\u00a0<\/strong><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/final\/2023\/34-96930.pdf\"><strong>SEC Shortens Settlement Cycle to T+\u00a01<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2023-30\"><strong>Be Careful what You Wish For &#8211; Massive Changes to Custody Rule Proposed by SEC<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/final\/2022\/34-96034.pdf\"><strong>Amendments to Rule 17a-4 Electronic Recordkeeping Requirement<\/strong><\/a><\/li>\n<\/ul>\n<p>Plus, To Do Checklists for March and April 2023, and\u00a0<a href=\"https:\/\/www.acaglobal.com\/insights\/regulatory-update-march-2023-edition\">more here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>March Regulatory Updates from\u00a0Cari Hopfensperger\u00a0at ACA\u00a0Group: PTE 2020-02 Court Case: Federal Court Strikes Down DOL&#8217;s Interpretation of &#8220;Regular Basis&#8221;\u00a0\u00a0 SEC Shortens Settlement Cycle to T+\u00a01 Be Careful what You Wish For &#8211; Massive Changes to Custody Rule Proposed by SEC Amendments to Rule 17a-4 Electronic Recordkeeping Requirement Plus, To Do Checklists for March and April &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2023\/03\/23\/shortened-settlement-cycles-form-adv-amendments-and-hackers-impact-derivatives-market-regulatory-update-for-march-2023\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Shortened Settlement Cycles, Form ADV Amendments and Hackers Impact Derivatives Market: Regulatory Update for March 2023<\/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],"tags":[],"class_list":["post-1344","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1344","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=1344"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1344\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1344"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1344"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1344"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}