As noted in Part 2 of this series of articles on blue sky filings, private funds (“issuers”) relying on an exemption from registration of their offerings are required to submit…

We are pleased to congratulate Carolyn Mendelson, a Hardin Compliance Consulting senior consultant and former state securities enforcement attorney, on her recent receipt of a 2019 Distinguished Service Award from…

David Rishel, Partner and Chief Operating Officer, and Cara Sharbaugh, Compliance Consultant, will be attending the 2019 National Conference of the National Society of Compliance Professionals at The Hilton in…

Jaqueline Hummel, Partner and Managing Director will be attending the NRS Fall 2019 Compliance Conference from October 15 through October 18, 2019 at the Hyatt Regency in Huntington Beach, California. …

Read Part 1: The Devil is in the Details: A Primer on Form D and Blue Sky Filings for Private Fund Managers Read Part 2: The Devil is in the Details:…

We are excited to share with you our NEW videos showcasing Hardin Compliance Consulting’s Compliance Navigator™ program powered by BasisCode Compliance. Our comprehensive program can be used by independent CCO…

For a compliance officer, finding the right software to manage the compliance program is tough.  The initial ask is to find an affordable system that can automate manual processes, allow…

Read Part 1: The Devil is in the Details: A Primer on Form D and Blue Sky Filings for Private Fund Managers, and Part 2:  Form D and Blue Sky…

FINRA announced on July 1st that Exchange-Traded Notes (“ETNs”) will be excluded from the reduced margin requirements set forth under Rule 4210(e)(2)(C) available to positions in ordinary investment-grade debt securities,…

With all the buzz about the passage of Regulation Best Interest (“Reg BI”), the “Commission Interpretation Regarding Standard of Conduct for Investment Advisers” (the “Interpretation”) has received much less attention….