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Hardin Compliance LLC.

Stonewood Commons II
103 Bradford Road
Suite 200
Wexford, PA 15090

Phone: 833.942.2218
Fax: 1.724.935.6790

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Hardin Compliance LLC.
  • Approach
  • Services
    • Overview
    • Special Projects
    • Blue Sky Filing Service
  • Clients
    • FAQ
  • Our Firm
    • Overview
    • The Team
  • Blog
    • Regulatory Updates
  • Events
  • Resources
    • Form CRS and Regulation Best Interest
    • Compliance Navigator® Subscriber Portal
    • 2021 Compliance “To-Do” Checklists
  • Careers
  • Contact

Blog

The Compliance Informer

We are Excited to Introduce Hardin’s Newest Team Members:

April 8, 2021 | by Rochelle Truzzi, Managing Director

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…

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Hardin Offers Regulation A Filing Services

April 8, 2021 | by Denise Alfieri, Managing Director

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…

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Annual Compliance Program Review | Hardin News

Practical Thought Leadership – Top 10 Tips for Updating Your Compliance Program in 2021

April 6, 2021 | by Cari Hopfensperger, Managing Director

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…

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Hardin Teams-Up with Bressler to Discuss Senior Investor Issues

March 25, 2021 | by Rochelle Truzzi, Managing Director

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. …

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Hardin News

Congratulations! Hardin Managing Director, Rochelle Truzzi, Appointed to FPA’s Public Policy Council

March 17, 2021 | by Cari Hopfensperger, Managing Director

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…

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Broker Dealer | Compliance Programs | Conflicts of Interest | COVID-19 | Cybersecurity | FINRA | Form CRS | Regulation Best Interest

Broker-Dealer – 2020 Regulatory Year in Review

March 12, 2021 | by Doug MacKinnon, Senior Compliance Consultant

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,…

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Broker Dealer | FINRA | SEC News

Certain Small Broker-Dealers Have an Additional 30 Days to File their Audited Financials

February 16, 2021 | by Rochelle Truzzi, Managing Director

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…

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Investment Advisers | Regulatory Filings | States

Practical Thought Leadership – Updated Advice to RIAs on State IAR Registrations and Notice Filings

February 8, 2021 | by Cari Hopfensperger, Managing Director

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…

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Hardin Compliance Consulting Promotes LuAnne Garvey

February 4, 2021 | by Jill Grenda

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…

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Compliance Programs | Investment Advisers | Mutual Funds | Private Investment Funds | Regulatory Filings |

Investment Adviser Compliance “To Do” List for 2021

January 25, 2021 | by Cari Hopfensperger, Managing Director

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…

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Hardin Compliance LLC.

Hardin Compliance LLC.

Stonewood Commons II
103 Bradford Road
Suite 200

Wexford, PA 15090

Phone: 833.942.2218
Fax: 1.724.935.6790

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