We are Excited to Introduce Hardin’s Newest Team Members:
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…
Hardin Offers Regulation A Filing Services
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…
Annual Compliance Program Review | Hardin News
Practical Thought Leadership – Top 10 Tips for Updating Your Compliance Program in 2021
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…
Hardin Teams-Up with Bressler to Discuss Senior Investor Issues
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. …
Hardin News
Congratulations! Hardin Managing Director, Rochelle Truzzi, Appointed to FPA’s Public Policy Council
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…
Broker Dealer | Compliance Programs | Conflicts of Interest | COVID-19 | Cybersecurity | FINRA | Form CRS | Regulation Best Interest
Broker-Dealer – 2020 Regulatory Year in Review
2020 was a difficult year for broker-dealers as they found themselves not only juggling their regular day-to-day obligations, the implementation of Form CRS and Regulation Best Interest policies and procedures,…
Broker Dealer | FINRA | SEC News
Certain Small Broker-Dealers Have an Additional 30 Days to File their Audited Financials
On February 12th, the SEC issued Release No. 34-91128 (“the Order”), which extends the annual audit filing deadline for certain small broker-dealers. In order to take advantage of the 30…
Investment Advisers | Regulatory Filings | States
Practical Thought Leadership – Updated Advice to RIAs on State IAR Registrations and Notice Filings
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Client Relationships Go Virtual, but State Regulators Remain Focused on Where RIA Clients Live, by Partner…
Hardin Compliance Consulting Promotes LuAnne Garvey
Hardin is pleased to announce the promotion of LuAnne Garvey to Senior Compliance Consultant! LuAnne joined Hardin just over three years ago, bringing with her a wealth of experience working…
Compliance Programs | Investment Advisers | Mutual Funds | Private Investment Funds | Regulatory Filings |
Investment Adviser Compliance “To Do” List for 2021
Hardin Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO…