November 2018 Broker-Dealer Newsletter

November 19, 2018 by


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

  • 2018 Broker-Dealer Compliance Reminders
  • Focus Areas during FINRA Trading and Financial Compliance Examinations
  • FINRA Exam Restructuring and Amendments to Registration Rules
  • MSRB Supports SEC Decision Regarding Bank Loan Disclosures
  • Revised FAQs for New MSRB Rule G-40
  • SEC and FINRA Issue Guidance on Third-Party Recordkeeping Services
  • MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees
  • 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 November 2018 Broker-Dealer Newsletter here.

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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.