Broker Dealers

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Sample Template to Help Broker-Dealers Meet Regulatory Requirements

November 16, 2020

Sample Template to Help Broker-Dealers Meet Regulatory Requirements

Broker-Dealer Filing Requirements Guide

February 14, 2020

Broker-Dealer Filing Requirements Guide

SEC No-Action Letter: Clarifying the Definition of Custody

January 27, 2020

SEC No-Action Letter: Clarifying the Definition of Custody

SEC Evaluating Scaled Approach for Broker-Dealer Reporting and Audit Requirements

January 24, 2020

SEC Evaluating Scaled Approach for Broker-Dealer Reporting and Audit Requirements

Updates on Regulation Best Interest (Reg BI)

October 14, 2019

Updates on Regulation Best Interest (Reg BI)

Senior Investor Protection: What Broker-Dealers and Investment Advisors Need to Know

September 24, 2019

Senior Investor Protection: What Broker-Dealers and Investment Advisors Need to Know

SEC Best Interest Regulation – Reg BI

October 22, 2018

SEC Best Interest Regulation – Reg BI

Potential Legislative Regulatory Changes: What You Should Know

August 2, 2018

Potential Legislative Regulatory Changes: What You Should Know

FINRA to Focus on High Risk Firms and Brokers for 2018

April 5, 2018

FINRA to Focus on High Risk Firms and Brokers for 2018

Broker-Dealers May be on the Hook for Inadequate Audits

November 2, 2017

Broker-Dealers May be on the Hook for Inadequate Audits

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