{"id":907,"date":"2019-04-01T19:05:58","date_gmt":"2019-04-01T19:05:58","guid":{"rendered":"http:\/\/localhost\/?p=907"},"modified":"2019-04-02T19:34:48","modified_gmt":"2019-04-02T19:34:48","slug":"sec-asks-for-help-understanding-digital-assets-and-custody-rule-finra-issues-faqs-on-529-self-reporting-request-and-new-testing-for-swap-traders","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/04\/01\/sec-asks-for-help-understanding-digital-assets-and-custody-rule-finra-issues-faqs-on-529-self-reporting-request-and-new-testing-for-swap-traders\/","title":{"rendered":"SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, and New Testing for Swap Traders"},"content":{"rendered":"<p>Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/jaqueline-m-hummel-esq\/\">Jaqueline Hummel<\/a>\u00a0at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/primer-on-form-d-and-blue-sky-filings-for-private-fund-managers\/\" data-wpel-link=\"internal\">Mr. Blue Skies:\u00a0 A Primer on Form D and Blue Sky filings<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/non-dvp-and-custody-digital-assets-031219-206\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Speak Now or Forever Hold Your Peace \u2014 SEC Asks for Help on the Custody Rule<\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/529-plan-share-class-initiative\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Keeping up with\u00a0 FINRA\u2019s 529 Plan Share Class Initiative<\/a><\/li>\n<li><a href=\"https:\/\/www.catnmsplan.com\/\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Registration Required If Your Firm Handles Orders in NMS Stocks, OTC Equity Securities, or Listed Options:<\/a>\u00a0\u00a0<a href=\"https:\/\/www.law.cornell.edu\/cfr\/text\/17\/242.613\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Rule 613<\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/sites\/default\/files\/notice_doc_file_ref\/Regulatory-Notice-19-08.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Attention FINOPs \u2013 How To Report Operating Leases on FOCUS Filings<\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/sites\/default\/files\/notice_doc_file_ref\/Regulatory-Notice-19-09.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Does Your Firm Publish Quotations in Unregistered Securities of Foreign Private Issuers<\/a>?<\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2019-23\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Modifications to Form N-PORT<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/divisions\/investment\/noaction\/2019\/independent-directors-council-022819\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">No Action Letter to the Independent Directors Council relaxes certain in-person voting requirements for fund boards<\/a><\/li>\n<li><u><a href=\"http:\/\/msrb.org\/~\/media\/Files\/Regulatory-Notices\/Announcements\/2019-07.ashx?la=en\">MSRB Announces Effective Date for Amended Advertising Rules<\/a><\/u><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/PDF\/CFTC\/InterpNotcNFABylaw301CR2-24ProficiencyRequirementsSwapAPs.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">NFA to Require Swap Proficiency Testing<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2019-26\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Advisor Slammed for Charging Some Clients More for Same Services<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2019-28\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Share Class Initiative Returning More Than $125 Million to Investors<\/a><\/li>\n<li>\n<div class=\"single-post-content\">\n<p><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5121.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Stupid is as Stupid Does<\/a><\/p>\n<\/div>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/sec-asks-for-help-understanding-digital-assets-and-custody-rule-finra-issues-faqs-on-529-self-reporting-request-new-testing-for-swap-traders-and-79-firms-settle-with-sec-in-share-class-initiative\/\">Read the full update here<\/a><\/p>\n<div class=\"sidebar-cats blog\"><\/div>\n<div class=\"widget-area\"><\/div>\n<\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Regulatory Updates from\u00a0Jaqueline Hummel\u00a0at Hardin Compliance Consulting LLC. Topics include: Mr. Blue Skies:\u00a0 A Primer on Form D and Blue Sky filings Speak Now or Forever Hold Your Peace \u2014 SEC Asks for Help on the Custody Rule Keeping up with\u00a0 FINRA\u2019s 529 Plan Share Class Initiative Registration Required If Your Firm Handles Orders in &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/04\/01\/sec-asks-for-help-understanding-digital-assets-and-custody-rule-finra-issues-faqs-on-529-self-reporting-request-and-new-testing-for-swap-traders\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, and New Testing for Swap Traders<\/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":[23,24,21,22],"tags":[],"class_list":["post-907","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","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\/907","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=907"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/907\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=907"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=907"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=907"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}