In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7.  As…

  Check out recent contributions by Hardin’s own to the November 2019 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter: “Top 10 Reasons to Hire an RIA…

In 2019, broker-dealers did not have to contend with many significant new rules or amendments, but there was still plenty of regulatory activity.  Here is a high-level summary of notable…

Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers.  This list is not intended to be exhaustive, but it should help compliance officers set up their regulatory calendars…

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…

The Massachusetts Securities Division (“MSD”) is moving ahead with its proposed uniform fiduciary standard of conduct for both broker-dealers and investment advisers (“MA Rule”, or “Fiduciary Conduct Standard”).  Secretary of…

In this installment of Hardin’s “Devil is in the Details” series on state blue sky filings for private fund managers, we dig into common exemptions from blue sky filing requirements. …

In Part 6 of Hardin’s “Devil is in the Details” series on state blue sky filings, we shine the spotlight on Termination and Withdrawal Notice filings.  Links to other articles…

Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join…

There are times when it makes sense to hire an expert.  Securities regulations are complicated and failure to comply can be costly, both in terms of fines and damage to…