{"id":918,"date":"2019-05-08T15:53:05","date_gmt":"2019-05-08T15:53:05","guid":{"rendered":"http:\/\/localhost\/?p=918"},"modified":"2019-05-14T16:05:18","modified_gmt":"2019-05-14T16:05:18","slug":"ocie-lists-privacy-blunders-sec-explains-when-digital-assets-become-securities-ohio-mandates-iars-and-rr-to-report-elder-abuse-finra-gives-broker-an-f-in-email-review-and-google","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/05\/08\/ocie-lists-privacy-blunders-sec-explains-when-digital-assets-become-securities-ohio-mandates-iars-and-rr-to-report-elder-abuse-finra-gives-broker-an-f-in-email-review-and-google\/","title":{"rendered":"OCIE Lists Privacy Blunders; SEC Explains When Digital Assets become Securities; Ohio Mandates IARs and RR to Report Elder Abuse; FINRA Gives Broker an \u201cF\u201d in Email Review; and Google Searches Don\u2019t Count as Due Diligence"},"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 style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/files\/OCIE%20Risk%20Alert%20-%20Regulation%20S-P.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Reg S-P Compliance Violations Spelled out by SEC<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.mintz.com\/sites\/default\/files\/media\/documents\/2019-04-10\/H4806%20%281%29.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Heads Up! Massachusetts Amended the Data Breach Notification Law<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"http:\/\/codes.ohio.gov\/orc\/5101.63v1\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Ohio Requires Registered Reps and Investment Adviser Reps to Report Elder Abuse<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/corpfin\/framework-investment-contract-analysis-digital-assets\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Issues Digital Asset Analysis <\/a>and <a href=\"https:\/\/www.sec.gov\/divisions\/corpfin\/cf-noaction\/2019\/turnkey-jet-040219-2a1.htm\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">No-Action Letter<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.jdsupra.com\/legalnews\/finra-issues-guidance-re-customer-49910\/\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Issues Guidance for Communications with Customers Regarding Departing Representatives<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"http:\/\/www.finra.org\/sites\/default\/files\/Regulatory-Notice-19-11.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Attention Underwriting Syndicate Members who enter into Backstop Agreements<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"http:\/\/www.finra.org\/sites\/default\/files\/notice_doc_file_ref\/Regulatory-Notice-19-13.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Will Permit the Use of Electronic Signatures for Discretionary Accounts<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/divisions\/investment\/guidance\/secg-investment-company-reporting-modernization-rules.htm\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Issues Guidance on Mutual Fund Reporting Requirements<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/investment\/investment-company-liquidity-risk-management-programs-faq\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Liquidity Risk Management FAQs Updated<\/a><\/li>\n<li style=\"text-align: left;\">NFA updated its <a href=\"https:\/\/www.nfa.futures.org\/members\/member-resources\/files\/self-exam-files\/self-exam-questionnaire.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Self Examination Questionnaire<\/a> to assist firms in preparing for 2-9<\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/33-10624.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Ever Wonder What Happens if Your Firm Blows the Private Offering Exemption?<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5226.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Google Searches and Phone Calls Don\u2019t Count as Extensive Due Diligence<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/www.sec.gov\/litigation\/complaints\/2019\/comp-pr2019-44.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">When Absolute Power Corrupts Absolutely<\/a><\/li>\n<li style=\"text-align: left;\"><a href=\"https:\/\/cipperman.com\/wp-content\/uploads\/Wilson-Davis-Co.-Inc.-CRD-3777-AWC-va.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Gives Broker-Dealer an \u201cF\u201d in Email Review<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/ocie-lists-privacy-blunders-sec-explains-when-digital-assets-become-securities-ohio-mandates-iars-and-rr-to-report-elder-abuse-finra-gives-broker-an-f-in-email-review-and-google\/\">Read\u00a0the full post here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Regulatory Updates from\u00a0Jaqueline Hummel\u00a0at Hardin Compliance Consulting LLC. Topics include: Reg S-P Compliance Violations Spelled out by SEC Heads Up! Massachusetts Amended the Data Breach Notification Law Ohio Requires Registered Reps and Investment Adviser Reps to Report Elder Abuse SEC Issues Digital Asset Analysis and No-Action Letter FINRA Issues Guidance for Communications with Customers Regarding &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/05\/08\/ocie-lists-privacy-blunders-sec-explains-when-digital-assets-become-securities-ohio-mandates-iars-and-rr-to-report-elder-abuse-finra-gives-broker-an-f-in-email-review-and-google\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">OCIE Lists Privacy Blunders; SEC Explains When Digital Assets become Securities; Ohio Mandates IARs and RR to Report Elder Abuse; FINRA Gives Broker an \u201cF\u201d in Email Review; and Google Searches Don\u2019t Count as Due Diligence<\/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-918","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\/918","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=918"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/918\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=918"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=918"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=918"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}