About Shannon Sanderson
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Entries by Shannon Sanderson
Per Investment News, FINRA’s new CEO, Robert Cook, is looking for ways to support the small broker-dealers. http://www.investmentnews.com/article/20171012/FREE/171019969/finra-wants-to-help-the-small-broker-dealer-cook?X-IgnoreUserAgent=1
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 designated the Public Company Accounting Oversight Board as the regulatory agency responsible for overseeing the audits of all broker dealers registered with the Securities and Exchange Commission. Over the past 7 years, the PCAOB has performed extensive reviews of audit files, scrutinizing independence, documentation […]
April is World Autism Awareness Month and we at ACI were proud participants of “Light It Up Blue”. This campaign was started to increase understanding and acceptance of people with autism. Thousands of landmarks, homes and businesses in more than 150 countries were lit blue on Sunday, April 2, 2017. Iconic landmarks that participated, include The White House, the […]