Author: Rochelle Truzzi, Managing Director
Hardin Proudly Promotes Patricia Kulhan!
Hardin is excited to announce the promotion of Trish Kulhan to Compliance Consultant! Trish has been with Hardin since 2014 and has more than 19 years of industry experience. As…
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 News | Hardin Press Releases |
Hardin’s Own Awarded JD Supra Readers’ Choice Top Authors 2021!
Cari Hopfensperger, Senior Compliance Consultant, Jaqueline Hummel, Partner and Managing Director, and have been recognized by JD Supra as among the top ten authors writing on compliance issues in 2020. They…
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. …
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…
Broker Dealer | Compliance Programs | FINRA Rules | MSRB | Regulatory Filings |
Broker-Dealer Compliance “To Do” List for 2021
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…
Broker Dealer | Compliance Programs | FINRA Rules | MSRB | Regulatory Filings
Broker Dealer Compliance “To Do” List for 2020
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…
Broker Dealer | FINRA Rules
* Time Sensitive Announcement * FINRA Increases Margin Requirements for ETNs
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,…
Fiduciary | Form ADV | Investment Advisers Act | Regulatory Filings | SEC News
One-Year Runway for RIAs and BDs to Comply with New Regulation Best Interest
On June 5, in a 3-1 vote, the SEC approved a regulatory standards-of-conduct package for Broker-Dealers and Investment Advisers, with a compliance date of June 30, 2020. The approved package…
529 Share Class Initiative | FINRA
May 31 is Deadline for Firms to Confirm Eligibility in FINRA 529 Plan Share Class Initiative
Broker-dealer firms that have elected to participate in FINRA’s 529 Plan Share Class Initiative must submit their confirmation of eligibility to FINRA by Friday, May 31st. Confirmation of eligibility is…