August 2021 Broker-Dealer Newsletter

Publish Date




  • Compliance

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

This issue highlights:

  • The DOL Fiduciary Rule
  • The Massachusetts (MA) Fiduciary Rule
  • FinCEN Reissues Real Estate Geographic Targeting Orders Involving Certain Real Estate Transactions
  • FINRA Guidance on Retail Communications Concerning Private Placement Offerings
  • FINRA Urges Firms to Review Their Policies and Procedures Relating to Red Flags of Potential Securities Fraud Involving Low-Priced Securities
  • SEC, NASAA, FINRA Published a New Training Resource to Meet the Requirements of the Senior Safe Act
  • MSRB Series 54 Exam Deadline
  • FINRA's COVID-19 Resources
  • 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 Leigh Wittick.

Upcoming events

ACA's Fall 2021 Virtual Conference | Align New Regulatory Priorities with Your Compliance Roadmap
Tuesday, September 21 and Wednesday, September 22, Virtual

FINRA 2021 Small Firm Conference
October 27 – 28, 2021, Santa Monica, CA

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.