Oyster Sponsors 2019 NSCP National Conference

Oyster Consulting is a sponsor of the 2019 NSCP National Conference, October 21-23, in Baltimore, MD.  Oyster’s CEO, Buddy Doyle will also be speaking on the 2019 Regulatory Priorities & Best Practices (Intermediate) panel.  This session will focus on OCIE’s 2019 examination priorities against a risk-based approach to: promoting compliance, preventing fraud, identifying and monitoring… READ MORE

SIFMA Regulation Best Interest Seminar

Oyster Consulting General Counsel Patrick M. Dennis will be attending SIFMA’s Reg BI Seminar. The program will provide insight into the final rule and related actions and feature SEC Commissioner, The Honorable Hester M. Peirce; SEC Directors from the Trading and Markets Division and the Investment Management Division; and panel discussions. Patrick M. Dennis has… READ MORE

SIFMA C&L Society St. Louis Regional Seminar

Oyster’s General Counsel Patrick M. Dennis will be attending the SIFMA C&L Society St. Louis Regional Seminar on June 18th. Patrick M. Dennis has been involved in the securities industry for over 30 years. Previously, Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its… READ MORE

SEC Adopts Reg BI

The SEC Adopts Regulation Best Interest (Reg BI) and Additional Rules and Interpretations that Address Relationships Between Retail Investors and Investment Professionals Regulation Best Interest On June 5, 2019, the SEC adopted a new rule, referred to as Regulation Best Interest (“Reg BI”), that establishes an express best interest obligation applicable to broker-dealers (“BDs”) when… READ MORE

Former Chicago Stock Exchange Sales-Marketing Director Joins Oyster Consulting

  Oyster Consulting announced today that Mark O’Connor joins the firm as a Relationship Manager, expanding Oyster’s ability to provide consistent, high-quality compliance, outsourcing and software services to financial services industry clients. Mark O’Connor has over 30 years of experience in the financial services industry, with an extensive track record of managing all aspects of… READ MORE

2019 FINRA Annual Conference – Oyster’s Dennis, Rosser & Brinkerhoff Attending

Oyster Consulting’s General Counsel Patrick M. Dennis, Director Evan Rosser and Associate Director Nikki Brinkerhoff will be attending the FINRA Annual Conference in Washington, DC May 15-17, 2019.   FINRA’s premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference… READ MORE