November 2020 Broker-Dealer Newsletter


ACA Compliance Group

Publish Date




  • Compliance

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.

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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.