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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

Author: Rochelle Truzzi, Managing Director

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 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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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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Broker Dealer | Compliance Programs | FINRA Rules | MSRB | Regulatory Filings |

Broker-Dealer Compliance “To Do” List for 2021

January 25, 2021 | by Rochelle Truzzi, Managing Director

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…

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Broker Dealer | Compliance Programs | FINRA Rules | MSRB | Regulatory Filings

Broker Dealer Compliance “To Do” List for 2020

January 15, 2020 | by Rochelle Truzzi, Managing Director

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…

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Broker Dealer | FINRA Rules

* Time Sensitive Announcement * FINRA Increases Margin Requirements for ETNs

July 16, 2019 | by Rochelle Truzzi, Managing Director

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,…

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Fiduciary | Form ADV | Investment Advisers Act | Regulatory Filings | SEC News

One-Year Runway for RIAs and BDs to Comply with New Regulation Best Interest

June 6, 2019 | by Rochelle Truzzi, Managing Director

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…

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529 Share Class Initiative | FINRA

May 31 is Deadline for Firms to Confirm Eligibility in FINRA 529 Plan Share Class Initiative

May 21, 2019 | by Rochelle Truzzi, Managing Director

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…

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Compliance Programs | FINRA | FINRA Rules | Regulatory Filings

Broker Dealer Compliance “To Do” List for 2019

January 7, 2019 | by Rochelle Truzzi, Managing Director

Photo by Darkmoon 1968 on Pixabay Updated January 10, 2019 Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers. This list is not intended to be exhaustive, but…

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Broker Dealer | Examinations and Audits | FINRA | FINRA Rules

Broker-Dealer To-Do List to Comply with FINRA Changes to Registration Rules

August 30, 2018 | by Rochelle Truzzi, Managing Director

FINRA has implemented several new registration and designation requirements that member firms will need to address on October 1.  See FINRA Regulatory Notice 17-30. The To-do List includes the following,…

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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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