Advisers relying on the Private Fund Adviser¹ or the Venture Capital Fund Adviser Exemption² (“ERA”), are exempt from registration but remain subject to certain reporting and compliance obligations. Exempt…

Analyzing the SEC’s new Marketing Rule (Rule 206(4)-1, or the “New Rule”) is a monumental task, so I am breaking it down into a series of six blog posts. This…

On December 1, 2020, New York Attorney General Letitia James announced updates to the New York state securities laws.  Among them are changes to the state’s blue sky filings requirements,…

Hardin is excited to announce the promotion of Trish Kulhan to Compliance Consultant!  Trish has been with Hardin since 2014 and has more than 19 years of industry experience.  As…

Over the past year, Hardin’s compliance consulting team has expanded in experience, knowledge, and numbers! Our team now consists of former regulatory and in-house securities attorneys, state examiners, senior compliance…

Regulation A is an exemption from registration for public offerings. There are two options available, each with its own distinct (but some similar) requirements, referred to as Tier 1 and…

Originally published on Hardin’s Compliance Informer blog, Hardin is pleased to share this recent reprint featured in the National Society of Compliance Professionals (NSCP)  Currents: Top 10 Tips for Updating Your…

Cari Hopfensperger, Senior Compliance Consultant, Jaqueline Hummel, Partner and Managing Director, and have been recognized by JD Supra as among the top ten authors writing on compliance issues in 2020.  They…

Senior Investor Webinar:  Special Guest, Kristen Standifer of the Washington Securities Division and Vice-Chair of NASAA’s Committee on Senior Issues & Diminished Capacity, joins Bressler and Hardin to discuss this important topic. …

Congratulations to Rochelle Truzzi, Managing Director, on her recent appointment to the Financial Planning Association’s (FPA) Public Policy Council. A member of FPAs Pittsburgh chapter, Ms. Truzzi will leverage her…