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Key Regulatory and Compliance Considerations for Smalll and Regional Broker/Dealers  


Author:  Paula D. Shaffner.; Brandon M. Riley.


Source: Volume 56, Number 15, September 1 2023 , pp.223-226(4)




Review of Securities & Commodities Regulation

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Abstract: 

In this article, the authors begin with suggestions for managing priorities with limited resources. They then turn to best practices for working with state regulators and tips for effective management of regulatory exams. They conclude that there are best practices that smaller and regional broker/dealers can adopt to mitigate regulatory risk, foster a firm-wide compliance culture, and build effective working relationships with regulators.

Keywords: Managing Compliance Priorities; Working with State Regulators and Other Authorities; Exam Management

Affiliations:  1: Stradley Ronon Stevens & Young, LLP; 2: Stradley Ronon Stevens & Young, LLP.

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