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.