{"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 — Monthly Guides"},"content":{"rendered":"

To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting’s lists of regulatory requirements for Broker-Dealers and Investment Advisers.\u00a0 While not intended to be exhaustive, it does provide a monthly “to do” list\u00a0to\u00a0assist you in planning for the year ahead . . .<\/p>\n

BD Monthly Guide<\/a><\/p>\n

IA Monthly Guide<\/a><\/p>\n

Now if we could just find someone to do this for the other aspects of our lives. . .<\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting’s lists of regulatory requirements for Broker-Dealers and Investment Advisers.\u00a0 While not intended to be exhaustive, it does provide a monthly “to do” list\u00a0to\u00a0assist you in planning for the year ahead . . . BD Monthly Guide IA … Continue reading 2019 Regulatory Deadlines for Broker-Dealers and Investment Advisers — Monthly Guides<\/span> →<\/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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/862","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=862"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/862\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=862"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=862"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=862"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}