December 2019 Broker-Dealer Newsletter

December 19, 2019 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:

  • 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

Download the Newsletter Here

If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford at dstafford@acacompliancegroup.com or (561) 628-5288.

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.