Broker-Dealer Newsletter - September 2015

September 18, 2015

ACA Broker-Dealer Services ("ACA") invites you to download the latest edition of our newsletter via the link below. This issue highlights regulators’ recent and ongoing focus areas. If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford in the Los Angeles office at (310) 322-8840.

Download BD Newsletter -
September 2015

ACA Upcoming Events

September 29
Broker-Dealer/Investment Adviser Roundtable
(St. Louis, Missouri)

October 27
Broker-Dealer/Investment Adviser Roundtable (Philadelphia)

If you would like 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.