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Cybersecurity Alert Warns of Credential Stuffing Attacks, SEC Modernizes Accredited Investor Definition, FINRA Gateway Enhancements Continue, and ADA Compliance Considerations: Regulatory Update for October 2020

Cybersecurity: Multi-Factor Authentication and CAPTCHA Recommended to Combat Credential Stuffing. This Risk Alert, issued by the SEC’s Office of Compliance Inspection and Examination, raised the alarm on a recent spate of…

Broker Dealer Regulation | CFTC | Conflicts of Interest | cybersecurity | FINRA Rule Changes | Form CRS | Investment Adviser Regulation | Private Funds | Regulation Best Interest | SEC News

COVID-19 Compliance Risks Continue, SEC Surveying Initial Form CRS Filings, Exempt CPOs: Your Attention is Needed, and Guidance for BDs on Customer Due Diligence: Regulatory Update for September 2020

Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers.  Although it may seem like a note from Captain Obvious, SEC’s Office of Compliance Inspections and Examinations (OCIE) sent…

Advertising and Marketing | Broker Dealer Regulation | Conflicts of Interest | cybersecurity | FINRA Rule Changes | Investment Adviser Regulation | Mutual Fund Regulation | Private Funds | Regulatory Deadlines | SEC News | Seniors and Vulnerable Investors

Ransomware Attacks! SEC Creates New Hoops for Advisers with Automated Proxy Voting; and Private Fund Conflicts Still Under the Microscope: Regulatory Update for August 2020

RANSOMWARE ATTACKS! Is Your Firm Ready?  OCIE issued a risk alert warning investment advisers, broker dealers, and investment companies that increasingly sophisticated ransomware attacks are being carried out on many…

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 | 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…

Conflicts of Interest | cybersecurity | FINRA Rule Changes | Mutual Funds | Regulatory Deadlines | SEC News | Seniors and Vulnerable Investors

SEC and OCIE Reach Out to B-Ds; Regulators Warn Firms to Use Enhanced Security on Cloud Storage; SEC’s War on “May” Continues, and Oklahoma Gets Schooled on Cybersecurity Risks: Regulatory Update for June 2019

SEC announces 2019 CCO Outreach program details: The 2019 National Compliance Outreach Program for Broker-Dealers, co-sponsored by the SEC and FINRA, will be held in Chicago on June 27, 2019….

12b-1 Fees | Advertising and Marketing | Best Execution | Conflicts of Interest | cybersecurity | FINRA Examinations | NFA | Regulatory Deadlines | SEC Exam | SEC Examinations

OCIE and FINRA Set Exam Priorities, FINRA Issues Cybersecurity Tips, and SEC Finds More Undisclosed Conflicts: Regulatory Update for February 2019

OCIE Announces 2019 Examination Priorities: The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 exam priorities on December 20, 2018.  OCIE’s priorities haven’t changed much…

Advertising and Marketing | Conflicts of Interest | cybersecurity | FINRA Rule Changes | GIPS | Private Funds | Regulatory Deadlines | SEC Rule changes

FINRA Warns Firms to Finalize Forms U4 and U5 Today! SEC Withdraws Proxy Voting Letters, GIPS Proposes Changes, and SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID: Regulatory Update for October 2018

SEC withdraws Prior Guidance on Proxy Voting Firm Independence.  The SEC’s Division of Investment Management issued an Information Update officially withdrawing two no-action letters on proxy voting issued back in…