2023 FINRA Regulatory Filings Calendar for Broker-Dealers

► How we help

Broker-dealers in the U.S. must meet various Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) requirements, or else face potential monetary penalties and reputational damage. ACA's experienced team of compliance professionals can help your firm develop and maintain a high-quality compliance program that is customized to your unique regulatory requirements, business demands, and operational challenges. In addition, our regulatory filings specialists can help your firm draft, review, and file applicable filings on your firm’s behalf.