Business Continuity and Disaster Recovery | COVID-19 Pandemic | Regulatory Filings | State News

State Regulators Not Feeling So Graceful Now: Investment Adviser Representatives Who Relocated to Other States for Pandemic May Have to Register as Grace Periods End

State regulators recognize that the new “work from home” environment is here to stay.  Several have ended grace periods that allowed investment adviser representatives (IARs) to provide advisory services in…

Broker Dealer | Hardin News | Investment Advisers | Private Equity Funds | Private Placements | Referrals

Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”

Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP)  Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner…

Broker Dealer | Hedge Funds | Investment Advisers | Marketing and Sales Activities | Private Investment Funds

Common Myths about Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”

In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid.  Investors understand that registered investment advisers and broker-dealers are compensated for their…