{"id":828,"date":"2018-11-02T18:30:23","date_gmt":"2018-11-02T18:30:23","guid":{"rendered":"http:\/\/localhost\/?p=828"},"modified":"2018-11-02T18:45:56","modified_gmt":"2018-11-02T18:45:56","slug":"time-to-pay-your-dues-increase-cross-trade-testing-and-disclose-your-conflicts","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2018\/11\/02\/time-to-pay-your-dues-increase-cross-trade-testing-and-disclose-your-conflicts\/","title":{"rendered":"Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts"},"content":{"rendered":"<p>November Regulatory Updates from <a href=\"https:\/\/www.hardincompliance.com\/team\/jaqueline-m-hummel-esq\/\">Jaqueline Hummel<\/a> at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.iard.com\/renewal-program\"><u>Annual Renewal Program for IARD System<\/u><\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/renewal\">Let the 2019 CRD Renewal Program Begin<\/a><\/li>\n<li><a href=\"http:\/\/finra.complinet.com\/net_file_store\/new_rulebooks\/r\/e\/Regulatory-Notice-18-32.pdf\">FINRA Regulatory Notice 18-32 &#8211; OTC Equity Quotations<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/divisions\/investment\/noaction\/2018\/independent-directors-council-101218.htm\"><u>SEC Allows Mutual Fund Boards to Rely on CCOs for Compliance with Affiliate Transaction Rules<\/u><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/final\/2018\/33-10566.pdf\"><u>Adoption of Updated EDGAR Filer Manual<\/u><\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/newsNotice.asp?ArticleID=5060\"><u>NFA Issues Interpretive Notice on Rule 2-46 on Avoiding Errors<\/u><\/a><\/li>\n<li><u> <\/u><a href=\"https:\/\/www.nfa.futures.org\/news\/newsNotice.asp?ArticleID=5062\"><u>Failure to pay Annual Dues Can Lead to Automatic Withdrawal from NFA<\/u><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2018\/ia-5050.pdf\"><u>SEC Sees through Scheme to Circumvent Cross Trading Rules<\/u><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2018\/34-84115.pdf\"><u>SEC Forces Adviser to Reimburse Clients for 12b-1 Payments and Disclosure Failure<\/u><\/a><u>s<\/u><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/time-to-pay-your-dues-increase-cross-trade-testing-and-disclose-your-conflicts-regulatory-update-november-2018\/\">Read\u00a0the full post here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>November Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC. Topics include: Annual Renewal Program for IARD System Let the 2019 CRD Renewal Program Begin FINRA Regulatory Notice 18-32 &#8211; OTC Equity Quotations SEC Allows Mutual Fund Boards to Rely on CCOs for Compliance with Affiliate Transaction Rules Adoption of Updated EDGAR Filer Manual &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2018\/11\/02\/time-to-pay-your-dues-increase-cross-trade-testing-and-disclose-your-conflicts\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"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-828","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\/828","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\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=828"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/828\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=828"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=828"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=828"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}