Resources/ Updates

Jun08

New Broker-Dealer Compliance Calendar

FINRA recently made available a new compliance calendar to help member broker-dealers meet their ongoing regulatory requirements.  Other helpful tools are detailed below and accessible on the FINRA website.

The Compliance Calendar

FINRA’s 2017 compliance calendar provides firms with a calendar view of upcoming required filings, a schedule of live educational opportunities and events, and significant deadlines. Future enhancements will include firm-specific information for a more customized view of upcoming events and deadlines.

Anti-Money Laundering (AML) Template

FINRA’s provides a template to help small firms establish an AML compliance program as required by the Bank Secrecy Act and associated regulations such as FINRA Rule 3310. “The template provides text examples, instructions, relevant rules and Web sites and other resources that are useful for developing an AML plan for a small firm.”

Written Supervisory Procedures

FINRA’s Written Supervisory Procedures Checklist, Updated in 2016, lists the topics of focus related to the various business activities performed by firms looking to become a FINRA member broker-dealer or to expand an existing business.  This is a living document that should be revised and updated as necessary.  Firms should compare their existing WSP with FINRA’s checklist to identify gaps.

Related Resources

FINRA Tools for Industry Professionals

Need Assistance with Regulatory Compliance?

To speak to a firm partner about your broker-dealer and ongoing regulatory compliance and/or AML independent testing, reach out to the SDDco Group:

  • Call Us:  212-751-4422
  • Email Us:  info@sddco.com
  • Ask Us:  contact form

About SDDco Group

Formed in 1952, the SDDco Group (www.sddco.com) delivers outsourced professional support to the financial services and technology sectors. Our menu of professional services includes accounting, regulatory and tax compliance, AML testing, brokerage hosting and supervision, as well as assuming designated FinOp, CCO, and CFO roles.

FOCUSED SUPPORT

SDDco specializes
in two industries.

Our know-how and our network supports the financial services & tech industries.

We hold the right training and licensures to keep you in step and mitigate risk.

Our Credentials

SUCCESSFUL CLIENTS

SDDco supports
industry leaders.

We oversee back office functions so you can focus on your own clients.

Major banks, private funds, RIAs, BDs, and tech startups choose us.

Our Clients

TOP TALENT

SDDco is as good
as its great people.

Our CPAs, FinOps and
consultants are licensed,
experienced professionals.

Partner with us for start-ups and for ongoing accounting, compliance and tax work.

Our People

ONSITE OUTSOURCING

SDDco performs
services onsite.

Outsourced support with
SDDco isn’t out of sight.

We work in your space and for your team on a regular basis. Engage the expertise without the fulltime hire.

Our Praises

HIGH STANDARDS

SDDco observes
AICPA principles.

Our inaugural firm began
when two CPAs opened
a NYC office back in 1952.

We faithfully maintain the CPA standards: integrity, competency, confidentiality….

Our Group