{"id":989,"date":"2019-11-04T21:46:37","date_gmt":"2019-11-04T21:46:37","guid":{"rendered":"http:\/\/localhost\/?p=989"},"modified":"2019-11-04T21:46:37","modified_gmt":"2019-11-04T21:46:37","slug":"whats-next-regulatory-update-for-november-2019","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/whats-next-regulatory-update-for-november-2019\/","title":{"rendered":"What\u2019s Next?: Regulatory Update for November 2019"},"content":{"rendered":"<p>Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopsfenperger<\/a>\u00a0at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/faq-disclosure-conflicts-investment-adviser-compensation\">Between a Rock and a Hard Place:\u00a0 SEC\u2019s FAQs on Conflicts of Interest and Recent Settlements Set Bar Impossibly High for Advisers<\/a><\/li>\n<li><a href=\"https:\/\/www.iard.com\/renewal-program\">RIAs &#8212; Get our Your Checkbooks!\u00a0 It\u2019s Time to Fund Your Annual Renewal Accounts on IARD<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/other\/2019\/34-87256.pdf\">SEC Establishes Asset Management Advisory Committee<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/registration-exams-ce\/broker-dealers\/annual-renewal\">$$ The 2020 Annual Renewal Program is Underway $$<\/a><\/li>\n<li><a href=\"https:\/\/financialadvisoriq.com\/c\/2552133\/299463\/finra_reveals_preparedness_reviews_starting_november\">FINRA Wants to Know if Broker-Dealers are Ready for Regulation Best Interest<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2019-09\/Regulatory-Notice-19-30.pdf\">Attention Underwriters, Syndicate Managers and Members, and Selling Group Members<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2019-09\/Regulatory-Notice-19-32.pdf\">Does Your Firm Issue Investment Fund Research Reports<\/a>?<\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2019%20Industry%20Snapshot.pdf\">FINRA 2019 Industry Snapshot<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2019-10\/2019-exam-findings-and-observations.pdf\">2019 Report on FINRA Examination Findings and Observations<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/public-statement\/cftc-fincen-secjointstatementdigitalassets\">Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/final\/2019\/33-10695.pdf\">SEC Adopts New ETF Rule and Modernizes ETF Regulations<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/accounting-and-disclosure-information\/performance\/adi-2019-09-performance-and-fee-issues\">Notice to Mutual Fund Managers \u2013 Review your Performance and Related Disclosures<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/rulebook\/rules.aspx?Section=9&amp;RuleID=9019\">NFA Updates Rules on Supervision<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/secs-relentless-pursuit-of-comp-related-conflict-disclosures-ria-and-bd-annual-renewals-come-due-finra-year-in-review-new-etf-rule-eliminates-need-for-exemptive-orders-zero-commissions\/\">Read the full update here<\/a>.<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: Between a Rock and a Hard Place:\u00a0 SEC\u2019s FAQs on Conflicts of Interest and Recent Settlements Set Bar Impossibly High for Advisers RIAs &#8212; Get our Your Checkbooks!\u00a0 It\u2019s Time to Fund Your Annual Renewal Accounts on IARD SEC Establishes Asset Management Advisory Committee $$ &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/whats-next-regulatory-update-for-november-2019\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">What\u2019s Next?: Regulatory Update for November 2019<\/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":[23,24,25,21,22],"tags":[],"class_list":["post-989","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","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\/989","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=989"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/989\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=989"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=989"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=989"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}