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 MANUAL (RULES AND REGULATIONS)
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 RULES AND INTERPRETATIONS