{"id":862,"date":"2019-01-08T16:25:20","date_gmt":"2019-01-08T16:25:20","guid":{"rendered":"http:\/\/localhost\/?p=862"},"modified":"2019-01-08T16:33:38","modified_gmt":"2019-01-08T16:33:38","slug":"2019-regulatory-deadlines-for-broker-dealers-a-monthly-guide","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/01\/08\/2019-regulatory-deadlines-for-broker-dealers-a-monthly-guide\/","title":{"rendered":"2019 Regulatory Deadlines for Broker-Dealers and Investment Advisers &#8212; Monthly Guides"},"content":{"rendered":"<p>To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting&#8217;s lists of regulatory requirements for Broker-Dealers and Investment Advisers.\u00a0 While not intended to be exhaustive, it does provide a monthly &#8220;to do&#8221; list\u00a0to\u00a0assist you in planning for the year ahead . . .<\/p>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/broker-dealer-compliance-to-do-list-for-2019\/\">BD Monthly Guide<\/a><\/p>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/investment-adviser-compliance-to-do-list-for-2019\/\">IA Monthly Guide<\/a><\/p>\n<p>Now if we could just find someone to do this for the other aspects of our lives. . .<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting&#8217;s lists of regulatory requirements for Broker-Dealers and Investment Advisers.\u00a0 While not intended to be exhaustive, it does provide a monthly &#8220;to do&#8221; list\u00a0to\u00a0assist you in planning for the year ahead . . . BD Monthly Guide IA &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/01\/08\/2019-regulatory-deadlines-for-broker-dealers-a-monthly-guide\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">2019 Regulatory Deadlines for Broker-Dealers and Investment Advisers &#8212; Monthly Guides<\/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":[23,21,22],"tags":[],"class_list":["post-862","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting&#039;s lists of regulatory requirements for Broker-Dealers and Investment Advisers. 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