2020 NASAA Virtual Annual Meeting

Join Oyster Consulting Associate Director Bill Reilly at the 2020 NASAA Virtual Annual Meeting.  Topics will include: Reg BI: Two Months In – Is This Standard Delivering on Its Promise? Recent Developments in Corporation Finance Ensuring Quality Advice in Uncertain Times: Continuing Education and Evolving Fee Models Protecting Seniors During Times of Increased Social Isolation… READ MORE

FINRA Releases 2020 Exam Priorities Letter

On January 9, 2020, FINRA released its 2020 Risk Monitoring and Examination Priorities Letter.  While many of the priorities are continuations from previous years and all areas are important, the recent Letter pointed to some new or refined focus areas: Sales Practices Regulation Best Interest:  There are still many firms that have not started the… READ MORE

Broker-Dealer Consolidated Report Enforcement Actions

Are Your Internal Controls, Written Procedures and Supervisory Reviews Enough? If you have reviewed the enforcement actions filed by FINRA related to the use of consolidated reports by broker-dealers, you are probably wondering if you are doing enough to protect your firm.  Here is what you need to know to help make that determination. Consolidated… READ MORE

2019 NASAA/State of Florida Broker Dealer Examiner Training Program

Oyster Consulting Associate Director Bill Reilly will participate as an instructor at the 2019 NASAA/State of Florida Broker Dealer Examiner Training Program from June 26-28, 2019 in Jacksonville, Florida. This program for NASAA member state and Canadian provincial staff is among the premier annual training programs sponsored by NASAA. Prior to joining Oyster in 2012,… READ MORE