2016 Broker-Dealer Best Practices Survey

June 1, 2016

ACA Compliance Group, RegEd, and the National Society of Compliance Professionals Invite You to Participate in the 2016 Broker-Dealer Best Practices Survey

This year's Broker-Dealer Best Practices Survey seeks information on trends in firm culture, cybersecurity, outsourcing, complex/alternative products, private placements, the U.S. Department of Labor’s Fiduciary Rule, and other subject areas.

We hope you will take time to participate. The information you contribute will generate valuable feedback for you and your peer firms regarding broker-dealer compliance practices. The survey results will also provide insights that your firm can put to practical use.

As in prior years, this survey will be conducted "blind" to encourage candid answers —that is, you will not have to identify yourself or your firm. You may also skip questions at your discretion.

IMPORTANT: The survey CLOSES on Friday, July 22, 2016. You should complete your responses by this date to qualify for the complimentary follow-up webcast on August 9, 2016. Note that partially completed responses cannot be saved on the system, so please plan to finish the survey at one sitting. (Answering the questions should take approximately 20 minutes.) We also request that only one person per firm complete the survey. If you are not your firm's Chief Compliance Officer, please check with him or her before taking the survey to avoid duplicate responses.


ACA, RegEd, and the National Society of Compliance Professionals will be sponsoring a webcast to present the survey results. During this event, our panelists will discuss the findings and highlight industry best practices. (Survey participants can register for the webcast via a link included in the questionnaire.)

For questions please contact

Dee Stafford, Director, ACA Compliance Group
dstafford@acacompliancegroup.com, (310) 322-8840