December 2016 Broker-Dealer Newsletter

December 8, 2016

ACA Broker-Dealer Services ("ACA") invites you to download the latest edition of our newsletter via the link below. This issue highlights the Department of Labor Conflicts of Interest Rule Frequently Asked Questions and annual broker-dealer compliance reminders. If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford in ACA's Los Angeles office at (310) 322-8840.

Download BD Newsletter -December 2016


ACA's Upcoming Events

ACA Spring 2017 Compliance Conference

May 3-5, 2017

ACA Fall 2017 Compliance Conference
October 25-27, 2017

For more information on any of these events, please contact Dee Stafford.

Broker-Dealer Quick Reference Guide

To receive a complimentary copy of our current Broker-Dealer Quick Reference Guide, please contact Dee Stafford.