ACA Broker-Dealer Services invites you to download the latest edition of our newsletter via the link below. This issue highlights:
- 2020 Broker-Dealer Year-End Compliance Checklist
- Supervisory Responsibilities Relating to CAT
- FINCEN Issues a Joint Statement on Bank Secrecy Act Due Diligence Requirements for Customers
- SEC No Action Letter – ATS Role in the Settlement of Digital Asset Security
- SEC and FINRA Issue Guidance on Characterizing Certain Broker-Dealers Under the SEC’s Customer Protection Rule
- FINRA Guidance on Retail Communications Concerning Private Placement Offerings
- Regulatory Notices, Updates, and Rule Changes
- Important Dates
If you have any questions or concerns about these topics, please contact your ACA consultant or Dee Stafford.
- 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours
November 9 – 10, 2020 (Virtual)
- 2021 FINRA Annual Conference
May 18 – 20, 2021, 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.