Broker-Dealer Newsletter - June 2016

June 24, 2016

ACA Broker-Dealer Services ("ACA") invites you to download the latest edition of our newsletter via the link below. This issue highlights FINRA’s report on effective practices for digital investment advice and the change in settlement cycle for municipal securities. If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford in ACA's Los Angeles office at (310) 322-8840. 

Download BD Newsletter -
June 2016

 

ACA's Upcoming Regional Compliance Roundtable Events

June 29 – Chicago, IL
July 12 – Minneapolis, MN
August 2 – Kansas City, KS
September 20 – St. Louis, MO
September 27 – New York, NY

If you would like more information on any of these events, please contact Dee Stafford.

Broker-Dealer Quick Reference Guide

 

To receive a complimentary copy of our current Broker-Dealer Quick Reference Guide, please contact Dee Stafford.