ACI’s expert team is able to offer results oriented programs largely based on our experience and knowledge. The regulatory landscape is constantly changing and, now more than ever, clients need and want to know their financial future is secure. As an industry, we need to better understand our regulatory responsibilities and restore confidence in the financial markets.
Below, ACI has collected SEC, FINRA, and other regulatory notices that are most pertinent to the broker-dealer FinOp role. Ultimately the broker dealer is responsible for understanding and adhering to all regulations, as complex and expansive as they may be. It is critical to stay up to date, but you don’t have to be alone. If you partner with ACI, our team of CPAs, FinOps, and financial services professionals will help you fully understand and minimize your risks.
Contact ACI today to learn more about our approach to managing the financial regulatory landscape with our clients.
Important Regulatory Notices for FinOps – FINRA
2016 FINRA Notices
2015 FINRA Notices
2014 FINRA Notices
For the full list of FINRA Notices visit www.finra.org/industry/notices.