Resources
Cost Effective Compliance Solutions for Broker-Dealers and Investment Advisors

Resources

Resources and Information for Broker Dealers

Here at Spotlight Compliance Solutions, we believe that consultants for the financial services industry must educate clients. The knowledge your consultant shares with you will help you to trust their expertise and recommendations.

The following links will take you to resources that we rely on for up-to-date regulatory information. If you don’t find answers to your compliance questions through these resources, we invite you to contact us. We will be happy to discuss your compliance questions.

FINRA:

FINRA MANUAL (RULES AND REGULATIONS)

SEC:

Securities Act of 1933

Securities Exchange Act of 1934

Trust Indenture Act of 1939

Investment Company Act of 1940

Investment Advisers Act of 1940

Securities Investor Protection Act of 1970

Public Company Accounting Reform and Corporate Responsibility Act of 2002 (Sarbanes-Oxley Act of 2002)

Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act of 2010)

NYSE

NYSE RULES AND INTERPRETATIONS

NASDAQ

http://nasdaq.cchwallstreet.com

MSRB

http://www.msrb.org

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e-mail: jack@jackfaller.com
Office: 732-242-4018
Cell 973-769-6253