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Registering a Broker-Dealer: The NMA and CMA Process Explained
We receive many questions about submitting a New Member Application with FINRA and when a firm needs to submit a Continuing M...
How to Use FINRA Sweeps To Your Advantage
Regulatory exams and sweeps are enough to keep any CCO up at night. In today’s podcast, Ed Wegener, head of Oyster Consulti...
Changes to FINRA Rule 6700 Series
Timely trade reporting continues to be a focus of regulators as they look to improve transparency and price discovery in the ...
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Why Outsourcing Your Testing Makes Sense
Many firms follow the best practice of using an independent firm every few years to conduct their annual testing. In this period high compliance turno...
A necessary part of any financial services firm’s business is handling disputes that arise. Whether it’s a complaint from a customer, litiga...
Level Up Your Branch Inspections
The New FINRA Inspections Pilot Program The impact of technology on the financial sector has been transformative, revolutionizing the way organization...
Optimizing Compliance: Registration Renewal
Leverage Registration Renewal For Oversight Of Representatives and Branch Offices As the year ends, broker-dealers and investment advisors should begi...
SEC Exam Priorities – Trade and Transaction Reporting
Capital markets are rapidly evolving and the rules are changing. Technology innovations are creating a faster trading environment and regulators are f...
Managing Regulatory Exams
8 Steps To Minimize Risk Of An Enforcement Action Firms are frequently, and unnecessarily, surprised when the findings of regulatory examinations turn...
FINRA Registration Update
FINRA Proposes Short-Form Membership Application Process for Selected Firms FINRA announced a proposal that would set forth a short-form membership ap...
Successful FINRA CAT and CAIS Reporting
Listen to Part 2 of our discussion with Mark Hendrickson of D.A. Davidson Companies Consolidated Audit Trail (CAT) trade reporting is maturing, and ma...
Oyster Consulting Hires Olga Rip
Olga Rip has joined Oyster Consulting’s financial consulting team to support and focus on growing the firm’s FINOP services. Rip expands...
Business Continuity and Disaster Recovery Plans
Review Your Business Resiliency Strategy While today’s businesses need to be ready to handle any sized disaster 100% of the time, it may only take o...
Finding Success with CAT CAIS Reporting
Listen to a A lively discussion with Mark Hendrickson on where CAT CAIS reporting stands, issues members are facing and how DA Davidson's CAT reportin...
Private Placements and FINRA Rule 2111
FINRA penalized 15 broker-dealers a total of $3.7 million for sales of GPB Capital Holdings private placements dating back to the spring of 2018. ...
Oyster Consulting Celebrates 15 Years of Excellence Serving Wealth Management Firms
Top Tier Consulting Firm Thrives Amidst Industry Challenges Oyster Consulting proudly marks its 15th anniversary. Founded in 2008 during the height of...
Branch Exams – Equip Your Firm For Success
Just as regulators conduct risk assessments to determine what will be the focus of examinations each year, there is an expectation that industry firms...