June 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:
- FINRA Focus on Supervision of Email Reviews
- SEC Approval of Regulation Best Interest
- FINRA Reminds Firms to Register for CAT Reporting
- Disclosure of Order-Handling Information
- FINRA Provides Guidance Regarding Suspicious Activity Monitoring and Reporting Obligations
- SEC OCIE Warns of Data Storage Risks
- 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.
Download the June 2019 Broker-Dealer Newsletter here.
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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