SEC Says No Delay for Reg BI, Offers Focus Areas for Firms

In a recent public statement, SEC Chair Jay Clayton confirmed that the June 30, 2020 compliance date for Reg BI and the Form CRS requirements will not be postponed. The statement also noted that the SEC has established a new website page to provide educational resources and tools for investors to assist them in reading… READ MORE

New Podcast: Will There Be A Post-Pandemic Securities Litigation Wave?

When markets are volatile, history has shown us that there is often an increase in securities litigation,  In this week’s episode, Oyster’s General Counsel Patrick M. Dennis and Director Evan Rosser talk about past litigation trends in volatile markets and what they see coming as the pandemic continues to wreak havoc on the national economy and individual investments. Oyster… READ MORE

New Podcast: 2020 Exam Priorities, Part 3

This week’s episode of Oyster Stew is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Technology and Cybersecurity, Business Continuity Plans, Cash Management and Bank Sweeps. Oyster provides free resources such as podcasts and blogs, as well a… READ MORE

New Podcast: 2020 Exam Priorities Letters – Part 1

In case you’re wondering what the regulators will be focusing on this year, they let you know when they publish their annual Exam Priorities Letters. This week’s episode of Oyster Stew is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and… READ MORE

FINRA’s Reg BI Conference – What You Need to Know

With just over six months remaining until the implementation date of Reg BI, we are seeing regulators provide additional guidance to help firms to meet the requirements of the rule, and regulatory expectations.  This week, FINRA hosted its Reg BI Conference in Washington, DC and Oyster’s consultants attended to receive the most up to date… READ MORE

Crypto Evolved – The Innovator’s Conference

Oyster’s Evan Rosser, Terry Schafer and Michael Segal are attending the Crypto-Evolved Conference in New York, June 25th, 2019.  “Crypto Evolved is the only industry conference dedicated to the development of the institutional digital-asset market. Through a high-quality agenda focused on key issues impacting capital markets, Crypto Evolved will attract senior representatives from traditional Wall… 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