Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Custody | cybersecurity | Form ADV | Investment Adviser Regulation | Mutual Fund Regulation | Private Funds | SEC News

COVID-19 Tests Firms’ BCP Efforts and Regulators Step Up with Relief; Conflicts of Interest and Custody Rule Stay on SEC’s Radar Screen, and Resources for Dealing with the Pandemic: Regulatory Update for April 2020

Like many businesses and families, we at Hardin remain concerned about the COVID-19 pandemic and its impacts to our clients, employees and the larger global community that connects us.  We…

Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Form ADV | Form CRS | Mutual Funds | Private Funds | Regulation Best Interest | Regulatory Deadlines | SEC News | SEC Sweep Examinations

Coming Soon – Annual Form ADV Update for RIAs; SEC Answers More Questions on Reg BI and Form CRS FAQs, MA Leads the Pack by Adopting First State Fiduciary Standard Rule for Broker-Dealers, FINRA Wants to Know How Zero Commission Brokers are Making Money: Regulatory Update for March 2020

SEC Updates Reg BI FAQs. The SEC posted new FAQs to assist firms in complying with their obligations under Regulation Best Interest (“Reg BI”).  The new content covers what it…

Broker Dealer Regulation | Conflicts of Interest | cybersecurity | Form CRS | Investment Adviser Regulation | Private Funds | Regulation Best Interest | Regulatory Deadlines | SEC Examinations | Seniors and Vulnerable Investors

SEC & FINRA Set Exam Priorities; SEC Issues Cybersecurity Tips and FINRA Punishes Firms for UGMA and UTMA Failures: Regulatory Update for February 2020

OCIE Announces 2020 Examination Priorities. The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 exam priorities on January 7, 2020.  OCIE’s priorities haven’t changed…