May 2022 Broker-Dealer Newsletter

Publish Date

Type

Newsletter

Topics

  • Compliance

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

Download the newsletter here

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