August 2021 Broker-Dealer Newsletter
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
If you have any questions or concerns about these topics, please contact your ACA consultant or Leigh Wittick.
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.