April 2020 Broker-Dealer Newsletter

April 27, 2020 by ACA Compliance Group


ACA Broker-Dealer Services invites you to download the latest edition of our newsletter via the link below. This issue highlights:

  • Consolidated Audit Trail, Where Are We Now?
  • The SEC Publishes FAQs for Reg BI
  • FINRA 2020 Risk Monitoring and Exam Priorities
  • OCIE 2020 Exam Priorities Letter
  • NASAA Survey About Reg BI Implementation
  • FINRA Regulatory Notice 20-08: Pandemic-Related Busines Continuity Planning, Guidance, and Regulatory Relief
  • FINRA Weekly Update Email - Coronavirus Disease (COVID-19)
  • Regulatory Notices, Updates, and Rule Changes
  • Important Dates

Download the Newsletter Here

If you have any questions or concerns about these topics, please contact your ACA consultant or Dee Stafford.

Upcoming Events

ACA Annual Conferences

FINRA Conferences

Broker-Dealer Quick Reference Guide

ACA has put together a Broker-Dealer Quick Reference Guide to assist firms with understanding compliance standards. Click here to request a copy of the guide.

Additional Resources

Regulation Best Interest Resources

ACA’s Broker-Dealer practice assists our clients with navigating the SEC’s Regulation Best Interest (Reg BI) through educational resources and alerts, program reviews, assistance designing and implementing a customized action plan to meet Reg BI’s requirements, and more. Visit our Reg BI Resources page to find out how ACA can help you comply by June 30, 2020.

Learn More

COVID-19 Resources

ACA is actively monitoring the developments related to COVID-19 and producing resources to help your firm address operational challenges created by this pandemic. Visit our COVID-19 Resources page to access all of the resources we've developed that may help your firm navigate through the restrictions in place to curb the pandemic.

Read More