June 2019 Broker-Dealer Newsletter

July 2, 2019 by

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

  • FINRA Focus on Supervision of Email Reviews
  • SEC Approval of Regulation Best Interest
  • FINRA Reminds Firms to Register for CAT Reporting
  • Disclosure of Order-Handling Information
  • FINRA Provides Guidance Regarding Suspicious Activity Monitoring and Reporting Obligations
  • SEC OCIE Warns of Data Storage Risks
  • Regulatory Notices, Updates, and Rule Changes
  • Important Dates and more

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.

Download the June 2019 Broker-Dealer Newsletter here.

Upcoming Events

ACA Compliance Roundtables

  • Denver, Colorado - July 9
  • Charlotte, North Carolina - July 16
  • Dallas, Texas - July 23
  • Chicago, Illinois - July 30
  • Columbus, Ohio - August 20
  • St. Louis, Missouri - September 24
  • Philadelphia, Pennsylvania - TBD

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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.