May 2022 Broker-Dealer Newsletter
ACA's Broker-Dealer team invites you to download the latest edition of our newsletter
This issue highlights:
- SEC Settles with 12 Financial Firms That Failed to Meet Form CRS Requirements
- SEC Staff Bulletin: Broker-Dealer and Registered Investment Adviser Responsibilities When Making Account Recommendations to Retail Investors
- FINRA 2022 Risk Monitoring and Examination Priorities
- FINRA Reminder: Where Liability Lies for Failing to Discharge Rule 3110 Designated Supervisory Responsibilities
- FINRA and the MSRB Extend Relief for Onsite Office Inspections
- FINRA’s Creation of the Maintaining Qualification Program
If you have any questions or concerns about these topics, please contact your ACA consultant or Leigh Wittick.
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