November 2020 Broker-Dealer Newsletter

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

• 2020 Broker-Dealer Year-End Compliance Checklist
• Supervisory Responsibilities Relating to CAT
• FINCEN Issues a Joint Statement on Bank Secrecy Act Due Diligence Requirements for Customers
• SEC No Action Letter – ATS Role in the Settlement of Digital Asset Security
• SEC and FINRA Issue Guidance on Characterizing Certain Broker-Dealers Under the SEC’s Customer Protection Rule
• FINRA Guidance on Retail Communications Concerning Private Placement Offerings
• Regulatory Notices, Updates, and Rule Changes
• Important Dates

Download the Newsletter Here

If you have any questions or concerns about these topics, please contact your ACA consultant or Dee Stafford.

Upcoming Events

FINRA Conferences

• 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours
  November 9 – 10, 2020 (Virtual)
   
• 2021 FINRA Annual Conference
  May 18 – 20, 2021, Washington, DC

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 download a complimentary copy of the guide.