Upcoming Events:

Oyster Consulting is a Platinum Sponsor of the FSDA Fall 2021 Industry Outreach Program:
Program to include:
* Fireside Chat with Regulator: Current Trends
*Panel Discussion on ESG Investing, Bitcoin and Cryptocurrency and Market Manipulation


Access Past Events and Resources

Oyster’s Bill Reilly was a guest on Thompson Hine’s “Coffee Chat” webinar series on July 14th. Listen now to Part 2, to learn more about how mock exams can help prepare for a regulatory inquiry.

Oyster’s Bill Reilly was a guest on Thompson Hine’s “Coffee Chat” webinar series on June 23rd. Listen now to Part 1 to learn more about how mock exams can help prepare for a regulatory inquiry.

Ed Wegener and Patrick M. Dennis along with Faegre Drinker’s Fred Reish and Bradford Campbell discuss steps broker-dealers and investment advisors should take to be in compliance by December 20, and what they should be doing now to comply with the Impartial Conduct Standards.

Marketing rule webinar

The Art of Marketing in a Changing Regulatory Environment

Join our panel of experts to learn:

Where the regulatory focus will be
What other firms are doing now
Why certain distribution methods being chosen
How the definition of advertisement has expanded
New general prohibitions
Testimonials, Testimonials, Testimonials

Risk webinar

Know Your Risk
Control Your Risk

Understand Risk-Based Regulatory Exams to Improve Your Firm’s Results:

  • Learn how FINRA’s Risk Assessments impact exam frequency and scope
  • Assess your firm’s risk
  • Improve regulatory relationships
  • Identify steps to impact risk assessments
  • How to make your Compliance Program Audit Ready

Read our blogs and listen to the Oyster Stew Podcast
where we discuss what’s happening in the industry
based on what we see as we work with regulators and clients.