{"id":815,"date":"2018-10-04T21:15:48","date_gmt":"2018-10-04T21:15:48","guid":{"rendered":"http:\/\/localhost\/?p=815"},"modified":"2018-10-04T21:15:48","modified_gmt":"2018-10-04T21:15:48","slug":"regulatory-updates","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2018\/10\/04\/regulatory-updates\/","title":{"rendered":"Regulatory Updates"},"content":{"rendered":"<ul>\n<li>FINRA Warns Firms to Finalize Forms U4 and U5 Today!<\/li>\n<li>The SEC Withdraws Proxy Voting Letters<\/li>\n<li>GIPS Proposes Changes<\/li>\n<li>The SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID.<\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/finra-warns-firms-to-finalize-forms-u4-and-u5-today-sec-withdraws-proxy-voting-letters-gips-proposes-changes-and-sec-targets-advisers-for-misleading-investors-advertising-missteps-and-violations\/\">Read More Here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FINRA Warns Firms to Finalize Forms U4 and U5 Today! The SEC Withdraws Proxy Voting Letters GIPS Proposes Changes The SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID. Read More Here<\/p>\n","protected":false},"author":89,"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-815","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"FINRA Warns Firms to Finalize Forms U4 and U5 Today! The SEC Withdraws Proxy Voting Letters GIPS Proposes Changes The SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID. 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