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 email@example.com or (561) 628-5288.
ACA Annual Conferences
- Spring 2019 Compiance Conference
Join us May 8-10, 2019 in Miami, Florida, for ACA’s Spring 2019 Compliance Conference.
- 2018 FINRA New York Region Member Forum
December 6, 2018, New York, NY
- 2019 Annual Conference
May 15-17, 2019, Washington, DC
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.