New Podcast: Resolving Operational Issues Uncovered During Acquisitions and Transformations

Trying to resolve issues and improve operational efficiency by aligning people and technology can lead to unexpected problems and mixed results. Whether your firm leadership wants to evaluate how the firm is running, the firm has recently undergone a merger or acquisition or is experiencing errors, losses or attrition, an Operational Assessment can increase efficiency, save your… READ MORE

The Great Compression

As an aftermath of the Great Recession of 2008, interest rates effectively went to 0% and stayed that way for almost the next 10 years.  After a recent period where rates have risen, we again are returning to a 0% interest rate environment.  This new environment has created a significant challenge for all broker-dealers who… READ MORE

FMA – 2020 Securities Compliance Seminar

 Oyster Director Nikki Brinkerhoff will be speaking at the FMA 2020 Securities Compliance Seminar, April 29-May 1, 2020.  This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured… READ MORE

New Podcast: Why Outsourcing Your Clearing Platform Assessment, Selection and Implementation Processes Makes Sense

Whether you are considering exploring your clearing options, changing from self-clearing to fully-disclosed (or vice-versa) or starting a broker-dealer, Oyster will help you make the best decisions with an assessment of your business, analysis to help drive decisions, and even walk you step-by-step through a vendor selection and conversion processes. In this week’s episode of… READ MORE

Consolidated Audit Trail (CAT) – Will Your Firm Be Ready To Report?

Broker-dealers are facing the looming December 2019 deadline for the new reporting requirements for the Consolidated Audit Trail (CAT).  Many firms put the CAT requirements at the bottom of their “to-do” list since it has been almost seven years since the original SEC Rule 613 was passed.  But the time for implementation is finally here,… 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