May 2017 Broker-Dealer Newsletter

May 11, 2017

ACA Broker-Dealer Services ("ACA") invites you to download the latest edition of our newsletter via the link below. This issue highlights Clock Synchronization and Certification requirements and guidance on liquidity risk management practices. If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford at (561) 628-5288.

Download BD Newsletter - 
May 2017

 

ACA's Upcoming Events

Chicago Broker-Dealer Compliance Roundtable
June 20, 2017

Minneapolis Broker-Dealer/Investment Adviser Compliance Roundtable
July 11, 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.