While much of the nation is focused on the imminent fiscal cliff, the departure of Chairperson Mary Shapiro from the SEC has pushed advisers towards a “compliance cliff” with potential gridlock on pending rulemaking. Keith Marks and Chris Hardy explain the deadlock, and provide an update on CFTC registration concerns, exemptions, and extensions.
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- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
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