Broker-Dealer Regulation & Compliance
Content I. Privacy of Consumer Financial Information (Regulation S-P) Ready to register? At Oyster Consulting, we understand the complexity of running a broker-dealer Member Application Program (MAP) Tools Broker-Dealer License New SEC Cybersecurity Sweep to focus on Investment Advisers Form CRS FINRA requires that member firms submit their annual reports in electronic form. Broker-dealers must…