Skip to content
Menu Contact/Location
  • 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

Hardin Compliance LLC.

Stonewood Commons II
103 Bradford Road
Suite 200
Wexford, PA 15090

Phone: 833.942.2218
Fax: 1.724.935.6790

Videos: See what our compliance program can do for your team!

Watch Now
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

Tag: General Solicitation

Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert

12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule

November 26, 2018 | by Jaqueline Hummel, Partner and Managing Director

OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…

Read More

Compliance Programs | Private Equity Funds | Private Investment Funds | Private Placements |

2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds: Part 2 of a 2-part Series

November 6, 2015 | by Jaqueline Hummel, Partner and Managing Director

November 6, 2015 By: Jaqueline M. Hummel, Managing Director As promised, I am continuing my two-part series, with this article providing additional recommendations for private equity and hedge fund managers…

Read More

CFTC Regulation

CFTC catches up with SEC Rule allowing General Solicitation

October 9, 2014 | by Jaqueline Hummel, Partner and Managing Director

October 9, 2014 By: Denise Alfieri, Senior Compliance Consultant On September 9, 2014, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued an…

Read More

Advertising and Marketing Regulation | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings | SEC News

New Rule 506(d) of Reg D and Bad Actors

August 20, 2013 | by Jaqueline Hummel, Partner and Managing Director

August 20, 2013 Jaqueline M. Hummel, Managing Director On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 506 of Regulation D under the Securities Act of…

Read More
Contact Us
  • About
  • Regulatory Updates

Subscribe

Sign up to receive Hardin blog and Regulatory updates via email

  • This field is for validation purposes and should be left unchanged.

Archives

Categories

Tags

  • Form ADV
  • Compliance Program
  • Deadlines
  • ERISA
  • Annual Review
  • SEC Examinations
  • Office of Compliance Inspections and Examinations (OCIE)
  • Mutual Funds
  • FINRA
  • Compliance Manual
  • Marketing
  • Compliance Program Rule
  • Rule 206(4)-7
  • General Solicitation
  • Fees and Expenses
  • Training
  • Advertising
  • Rule 12b-1
  • Custody Rule
  • Rule 506(c)
  • FINRA Rules
  • Cherry Picking
  • Past Specific Recommendations
  • Accredited Investor
  • CFTC
  • CPO
  • JOBS Act
  • Qualified Eligible Persons
  • Rule 144A
  • Bad Actor
  • Regulation D
  • Rule 506(d)
  • Form N-CEN
  • Form N-Port
  • Regulation S-X
  • Cybersecurity Initiative
  • Data Privacy
  • Regulation S-P
  • ReTire Initiative
  • Rule 30
  • Municipal Advisors
  • Form 13F
  • Form 13H
  • Form D
  • Form PF
  • Privacy Policy
  • National Examination Program
  • SEC Exams
  • FINRA Rule 2165
  • Cybersecurity
  • Fiduciary Rule
  • DOL
  • MiFID II
  • Variable Annuities
  • Net Capital
  • Supervisory Failures

Upcoming Events

  • Hardin Joins Thompson Hine to Discuss the SEC's New Marketing Rule
    03/10/21
  • Hardin Joins Bressler, Emery & Ross, P.C. to Discuss Senior Investor Issues
    03/31/21
  • See All Events

Calendar of Events

<< March 2021 >>
MTWTFSS
1 2 3 4 5 6 7
8 9 10 11 12 13 14
15 16 17 18 19 20 21
22 23 24 25 26 27 28
29 30 31 1 2 3 4
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

Privacy Policy | Terms of Use | Legal Disclaimer
© 2021 Hardin Compliance LLC. All rights reserved.
Website by