In May 2025, FINRA issued a long-anticipated update to its Operations Professional Registration FAQ, clarifying that individuals who post journal entries but lack discretionary authority over capital are not required to register as Series 99 Operations Professionals under Rule 1220(b)(3)(A)(i)c. ACI executive management has actively engaged with senior FINRA staff on this in recent years, […]
A Small Change with Big Impact On March 24, 2025, the SEC rolled out a meaningful update: broker-dealers are no longer required to notarize the officer’s signature on the PCAOB annual audit report oath. At first glance, this may seem like a minor shift, but for firms racing against deadlines or working across locations, the […]
We are proud to see ACI’s upcoming relocation to One Seaport Plaza featured in Commercial Observer! We want to extend our sincerest appreciation to Jack Resnick & Sons for welcoming us, to Rob Wizenberg of JLL for helping us secure the perfect space, and to Isabelle Durso and Commercial Observer for highlighting this exciting milestone. […]
Today, January 9, 2025, the New York Stock Exchange (NYSE) will be closed for a national day of mourning declared by President Joe Biden to honor the life and legacy of President Jimmy Carter. Due to the loss of the workday, the Q4 regulatory filing deadline has been extended by one day, moving from January […]