FMA’s 2021 Securities Compliance Seminar

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 for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory “hot button”… READ MORE

FSDA Outreach Program

In place of the in-person event on October 8, 2020, the FSDA will launch the first of three live streamed events. The FSDA Industry Outreach Program series kicks off on October 8, 2020, at 9:00 AM with the keynote speaker who will be taking on the hot topics — market trends, resiliency and the effect… READ MORE

FSDA Outreach Virtual Conferences

In place of the in-person event on October 8, 2020, the FSDA will launch the first of three live streamed events. The FSDA Industry Outreach Program series kicks off on October 8, 2020, at 9:00 AM with the keynote speaker who will be taking on the hot topics — market trends, resiliency and the effect… READ MORE

Market Access Rule 15c3-5: Still a priority for FINRA

The Market Access Rule (Rule 15c3-5) remains on FINRA’s priority list – they have provided guidance on the rule and initiated enforcement actions against firms struggling to adhere to it. Oyster Consulting often works with clients after regulators have found issues with their Market Access program. It’s in your firm’s best interest to take a proactive look… READ MORE

Increases Expected in Pandemic-Related Securities Litigation

Recent webinars and articles have centered around the issues the securities industry will confront as a result of the pandemic and market turmoil.  We have compiled relevant information from those sources and added our own observations based on our previous experience. Based on past market downturns, firms can expect a wave of litigation stemming from… 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

Securities Experts Roundtable – Annual Conference

Oyster’s Chief Legal Counsel Patrick M. Dennis will be attending the Securities Experts Roundtable (SER) in Minneapolis, MN.   SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization. Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as… READ MORE