Broker-Dealer Newsletter - March 2016

March 15, 2016

ACA Broker-Dealer Services ("ACA") invites you to download the latest edition of our newsletter via the link below. This issue highlights the SEC and FINRA’s 2016 Exam Priorities Letters for broker-dealers. 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.

ACA's Upcoming Regional Compliance Roundtable Events

April 26 – Houston, TX
May 3 – New York, NY
May 17 – Cleveland, OH
June 29 – Chicago, IL
July 12 – Minneapolis, MN
August 2 – Kansas City, KS
September 20 – St. Louis, MO

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.