Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Custody | cybersecurity | Form CRS | Hedge Funds | Investment Adviser Regulation | Regulation Best Interest | Regulatory Deadlines | SEC News | SEC Rule changes

No Slack for Firms on Compliance with Reg BI and Form CRS; SEC Eases Deadlines and Restrictions on Custody and Mutual Funds, and Disclosure of PPP Loans for Advisers: Regulatory Update for May 2020

SEC Provides Scope and Content of Upcoming Examinations Related to Form CRS.  After June 30, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) plans to examine subject broker-dealers and…

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…

Best Execution | Business Continuity | Conflicts of Interest | FATCA | FINRA Rule Changes | Mutual Funds | Pay to Play | Qualified Client | Regulatory Deadlines | Trading Away | Wrap Accounts

Regulatory Update August 2016

REMINDER: FINRA members’ websites must include hyperlink to BrokerCheck.  Effective June 6, 2016, FINRA Rule 2210 (Communications with the Public) requires websites of broker-dealers to include a “readily apparent reference…