Built To Scale with CRC-Oyster
Built To Scale with CRC-Oyster is the newly rebranded Oyster Stew podcast following the acquisition of Oyster Consulting by Compliance Risk Concepts. The podcast features candid, thoughtful conversations that explore not only compliance and risk management, but the broader financial services industry. Each episode examines emerging trends, key issues, and current developments shaping the industry and affecting the firms and professionals who operate within it.
Built To Scale with CRC-Oyster
SEC Exam Priorities - Broker-Dealer Trade Practices
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Each year the SEC publishes its exam priorities for the coming year. Join us for today’s podcast as Oyster Consulting’s Capital Markets experts Jeff Gearhart, Frank Childress and Jose Fernandez share their thoughts on the priorities related to broker-dealer trading practices including:
· Rule 15c2-11
· Reg SHO
· Reg ATS and filing requirements
CRC-Oyster: Compliance Risk Concepts / Oyster Consulting