June 2018 Broker-Dealer Newsletter

June 29, 2018

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

  • With the Department of Labor (DOL) Fiduciary Rule’s Now Gone, States May Be Providing the Answers to the Question of Who is a Fiduciary
  • Strategy Adherence and Suitability
  • Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
  • Equity Short-Sale Validations
  • Regulatory Notices, Updates, and Rule Changes
  • Important Dates and more

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 June 2018 Broker-Dealer Newsletter here.

Upcoming Events

ACA Compliance Roundtables 

  • Chicago, IL - July 24
  • St. Louis, MO - September 18
  • Philadelphia, PA - TBD

ACA Annual Conferences 

FINRA Conferences 

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