December 2019 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter via the link below. This issue highlights:
- 2019 Broker-Dealer Year-End Compliance Checklist
- Advertising Regulation and Disclosure Innovations
- FINRA Releases Resources for Regulation Best Interest
- Proposed Sales Practices Rules for Transacting in Shares of Leveraged/Inverse Investment Vehicles
- FINRA to Review Members for Regulation Best Interest Preparedness
- 2019 Examination Findings Report
- Regulatory Notices, Updates, and Rule Changes
- Important Dates
If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford.
Broker-Dealer Quick Reference Guide
ACA has put together a Broker-Dealer Quick Reference Guide to assist firms with understanding compliance standards. Click here to request a copy of the guide.
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