January 2018 Broker-Dealer Newsletter

January 24, 2018

ACA Broker-Dealer Services ("ACA") invites you to download the latest edition of our newsletter via the link below. This issue highlights: 

  • 2018 Broker-Dealer Compliance Reminders
  • Customer Due Diligence For Financial Institutions
  • Regulatory Notices, Updates, and Rule Changes
  • Important Dates - Reports and Filings

If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford at (561) 628-5288.

Download the January 2018 Broker-Dealer Newsletter here.

Upcoming Events

ACA Compliance Roundtables
New York, NY - May 2
Denver, CO - June 26
Columbus, OH - July 10

Spring 2018 Compliance Conference
May 9 -11, 2018
Amelia Island, FL

2018 Annual FINRA Conference
May 21-23, 2018
Washington, DC 
 

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