ACA Broker-Dealer Services invites you to download the latest edition of our newsletter via the link below. This issue highlights:
- 2019 Broker-Dealer Year-End Compliance Checklist
- Advertising Regulation and Disclosure Innovations
- FINRA Releases Resources for Regulation Best Interest
- Proposed Sales Practices Rules for Transacting in Shares of Leveraged/Inverse Investment Vehicles
- FINRA to Review Members for Regulation Best Interest Preparedness
- 2019 Examination Findings Report
- Regulatory Notices, Updates, and Rule Changes
- Important Dates
If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford at firstname.lastname@example.org or (561) 628-5288.
ACA Annual Conferences
- Spring 2020 Compliance and Performance Conference
Join us May 6 to 8, 2019 in Savannah, GA for ACA's Spring 2020 Compliance and Performance Conference.
- Fall 2020 Compliance Conference
Join us September 30 to October 2, 2019 in Carlsbad, CA for ACA's Fall 2020 Compliance Conference.
- 2020 Cybersecurity Conference
January 14, 2020, New York, NY
- South Region Member Forum
January 23, 2020, Hollywood, FL
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.