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SEC Risk Alert Highlights Observations from AML Compliance Exams
The SEC and FINRA Fine Merrill Lynch $12 Million for AML Failures
SEC Issues New Risk Alert on Expanded Focus for Marketing Rule Examinations
FINRA: Member-Firms Must Properly Supervise Use of Emojis in Electronic Communications
SEC Issues Risk Alert on Safeguarding Customer Information at Branch Offices
SEC & FINRA Finally Approve a Crypto Company
Relief For Broker-Dealers Providing Research For Hard Dollars?
SEC Releases Further Guidance On Standards of Care For Broker-Dealers and Registered Investment Advisers Regulation Best Interest
SEC Withdraws M&A Brokers No-Action Letter
The SEC Proposes Changes to the Submission of Forms, Filings and Materials
New SEC Risk Alert “Observations from Examinations of Newly-Registered Advisers”
FINRA Issues 2023 Report on Exam and Risk Monitoring Program
The SEC Proposes Significant Changes to Existing Custody Rules for Registered Investment Advisers
SEC Votes to Adopt T+1 Trade Settlements and Proposes Further Advisory Client Protections
DFP Partners’ Janice Parise Elected to FINRA’s Small Firm Advisory Committee
FINRA Amends Continuing Education Rules
DFP Partners Cybersecurity Services
The IRS Provides 2023 Inflation Adjustments
DFP Partners Registered Investment Adviser Services
DFP Partners Broker-Dealer Services
DFP Partners FinOp Services
DFP Partners Anti-Money Laundering Testing Services
DFP Partners Overview
DFP Partners Accounting Services
The Supreme Court Denies New Hampshire’s Case Against Massachusetts Work From Home Tax Case
The Merry Adventures of Robin Hood — What The Current Fight With Massachusetts May Bring For The Industry
The SEC Provides COVID Relief Surrounding Annual Audited Financial Statements & Other Filings