{"id":980,"date":"2019-09-04T21:51:47","date_gmt":"2019-09-04T21:51:47","guid":{"rendered":"http:\/\/localhost\/?p=980"},"modified":"2019-09-04T21:51:47","modified_gmt":"2019-09-04T21:51:47","slug":"fee-based-annuities-get-a-boost-more-resources-on-reg-bi-and-form-crs-states-get-tough-on-crypto-scams-sec-speaks-on-proxy-voting-gets-tough-to-protect-vulnerable-adults-and-drops-the-other-shoe-o","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/09\/04\/fee-based-annuities-get-a-boost-more-resources-on-reg-bi-and-form-crs-states-get-tough-on-crypto-scams-sec-speaks-on-proxy-voting-gets-tough-to-protect-vulnerable-adults-and-drops-the-other-shoe-o\/","title":{"rendered":"Fee-Based Annuities Get a Boost, More Resources on Reg BI and Form CRS, States get Tough on Crypto Scams, SEC Speaks on Proxy Voting, Gets Tough to Protect Vulnerable Adults and Drops the Other Shoe on Revenue Sharing"},"content":{"rendered":"<p>September\u00a0Regulatory 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.thinkadvisor.com\/2019\/08\/12\/fee-based-annuities-get-irs-nod\/?kw=Fee-Based%20Annuities%20Get%20IRS%20Nod&amp;utm_source=email&amp;utm_medium=enl&amp;utm_campaign=dailywire&amp;utm_content=20190812&amp;utm_term=tadv\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">IRS Ruling Allows Advisers to be Paid out of Fee-Based Annuities<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/interp\/2019\/ia-5325.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">At Long Last\u2026 the SEC provides Guidance on Voting Client Proxies<\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/fee-based-annuities-get-a-boost-more-resources-on-reg-bi-and-form-crs-states-get-tough-on-crypto-scams-sec-speaks-on-proxy-voting-gets-tough-to-protect-vulnerable-adults-and-drops-the-other-shoe-o\/\">What\u2019s New with Regulation Best Interest and Form CRS Relationship Summary?<\/a><\/li>\n<li><a href=\"https:\/\/www.nasaa.org\/52027\/nasaa-updates-coordinated-crypto-crackdown-2\/\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">States Continue to Find Trouble Brewing in Crypto Markets<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/municipal\/municipal-advisors.html\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Do You Need to Register as a Municipal Advisor?<\/a><\/li>\n<li><a href=\"https:\/\/info.dechert.com\/10\/12671\/august-2019\/sec-staff-issues-no-action-letter-on-hiring-affiliated-sub-advisers-without-shareholder-approval.asp\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Staff Issues No-Action Letter on Hiring Affiliated Sub-Advisers without Shareholder Approval<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/newsNotice.asp?ArticleID=5134\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">New Dues for CPO\/CTAs Engaged in Swap Activities<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/basicnet\/CaseDocument.aspx?seqnum=4722\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Ignorance is not Bliss \u2013 NFA Takes Emergency Enforcement Action Against Walnut Creek, CA-Based CPO\/CTA<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/ia-5305.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Sanctions Levied Against Boston-Based Adviser for Breach of Fiduciary Duty to Senior Client<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/34-86489.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Broker\u2019s Clean Record of 32 Years Tarnished by SEC Insider Trading Fine<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/complaints\/2019\/comp24550.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">The Other Shoe Drops\u2026 SEC Files Case Against Commonwealth Financial for Disclosure Failures for Revenue Sharing After Settling Charges in 12b-1 Sweep<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2019\/34-86446.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">The Bigger the Conflict, the Bigger the Disclosure<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/fee-based-annuities-get-a-boost-more-resources-on-reg-bi-and-form-crs-states-get-tough-on-crypto-scams-sec-speaks-on-proxy-voting-gets-tough-to-protect-vulnerable-adults-and-drops-the-other-shoe-o\/\">Read\u00a0the full post here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>September\u00a0Regulatory Updates from\u00a0Jaqueline Hummel\u00a0at Hardin Compliance Consulting LLC. Topics include: IRS Ruling Allows Advisers to be Paid out of Fee-Based Annuities At Long Last\u2026 the SEC provides Guidance on Voting Client Proxies What\u2019s New with Regulation Best Interest and Form CRS Relationship Summary? States Continue to Find Trouble Brewing in Crypto Markets Do You Need &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/09\/04\/fee-based-annuities-get-a-boost-more-resources-on-reg-bi-and-form-crs-states-get-tough-on-crypto-scams-sec-speaks-on-proxy-voting-gets-tough-to-protect-vulnerable-adults-and-drops-the-other-shoe-o\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Fee-Based Annuities Get a Boost, More Resources on Reg BI and Form CRS, States get Tough on Crypto Scams, SEC Speaks on Proxy Voting, Gets Tough to Protect Vulnerable Adults and Drops the Other Shoe on Revenue Sharing<\/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-980","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\/980","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=980"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/980\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=980"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=980"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=980"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}