2021 Broker-Dealer Regulatory Filings Calendar
To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.
Click below to request our printable calendar.
How We Help
Broker-dealers must meet various FINRA and SEC requirements or else face potential monetary penalties and reputational damage. ACA's experienced team of compliance professionals can help your firm develop and maintain a high-quality compliance program that is customized to your unique regulatory requirements, business demands, and operational challenges. In addition, our regulatory filings specialists can help your firm draft, review, and file applicable filings on your firm’s behalf.
Click here to learn more about our services for broker-dealers.
For More Information
For more information, please contact Dee Stafford or your regular ACA consultant.
Related insights
ACA/NSCP 2024 AI Benchmarking Survey Results
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
- Compliance
- Artificial Intelligence (AI)
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
- ACA News
- Artificial Intelligence (AI)
- Compliance
Mastering Employee Compliance: Key Strategies for CCOs
Key strategies can help you effectively manage employee compliance, foster a culture of adherence, and support the organization's overall success.
- Compliance
- ComplianceAlpha