Get in touch!
Tell us how we can help your business. One of our DFP Partners consultants will respond promptly.
First & Last Name
*
Email
*
Phone
Company
Tell us more or ask a question
What services are you interested in?
*
Accounting/FinOp
Compliance Consulting/CCO
Broker-Dealer Hosting
AML Compliance & Testing
CAPTCHA
(212) 751-4422
Contact
About
Why DFP Partners
Our Management Team
Careers
Who We Serve
Broker-Dealers
Registered Investment Advisers
Start-ups & New Businesses
Services
FinOp & Accounting
Outsourced FinOp
Accounting & Bookkeeping
Start-up Advisory Service
Broker-Dealer
Broker-Dealer Hosting
Compliance
Broker-Dealer Membership & Compliance
RIA Registration & Compliance
Outsourced CCO
AML Testing provided by SDDco
Cybersecurity
Branch Office Inspections
Investment Adviser Anti-Money Laundering Compliance Solutions
Resources
Get Our Newsletter
Email
Resources
View our resources to see how DFP Partners can help with your accounting and compliance needs.
all
newsletter
brochures
blog
Sep 6, 2024
DFP Partners Branch Office Inspection Services
read more
Nov 13, 2023
SEC Risk Alert Highlights Observations from AML Compliance Exams
read more
Jul 26, 2023
The SEC and FINRA Fine Merrill Lynch $12 Million for AML Failures
read more
Jul 26, 2023
SEC Issues New Risk Alert on Expanded Focus for Marketing Rule Examinations
read more
Jul 26, 2023
FINRA: Member-Firms Must Properly Supervise Use of Emojis in Electronic Communications
read more
Jun 20, 2023
SEC Issues Risk Alert on Safeguarding Customer Information at Branch Offices
read more
Jun 20, 2023
SEC & FINRA Finally Approve a Crypto Company
read more
Jun 20, 2023
Relief For Broker-Dealers Providing Research For Hard Dollars?
read more
May 17, 2023
SEC Releases Further Guidance On Standards of Care For Broker-Dealers and Registered Investment Advisers Regulation Best Interest
read more
May 17, 2023
SEC Withdraws M&A Brokers No-Action Letter
read more
Apr 19, 2023
The SEC Proposes Changes to the Submission of Forms, Filings and Materials
read more
Apr 19, 2023
New SEC Risk Alert “Observations from Examinations of Newly-Registered Advisers”
read more
Mar 17, 2023
FINRA Issues 2023 Report on Exam and Risk Monitoring Program
read more
Mar 17, 2023
The SEC Proposes Significant Changes to Existing Custody Rules for Registered Investment Advisers
read more
Mar 17, 2023
SEC Votes to Adopt T+1 Trade Settlements and Proposes Further Advisory Client Protections
read more
Dec 22, 2022
DFP Partners’ Janice Parise Elected to FINRA’s Small Firm Advisory Committee
read more
Dec 16, 2022
FINRA Amends Continuing Education Rules
read more
Nov 10, 2022
DFP Partners Cybersecurity Services
read more
Nov 7, 2022
The IRS Provides 2023 Inflation Adjustments
read more
Nov 16, 2021
DFP Partners Registered Investment Adviser Services
read more
Nov 16, 2021
DFP Partners Broker-Dealer Services
read more
Nov 16, 2021
DFP Partners FinOp Services
read more
Nov 16, 2021
DFP Partners Anti-Money Laundering Testing Services
read more
Nov 16, 2021
DFP Partners Overview
read more
Nov 16, 2021
DFP Partners Accounting Services
read more
Jul 15, 2021
The Supreme Court Denies New Hampshire’s Case Against Massachusetts Work From Home Tax Case
read more
May 15, 2021
The Merry Adventures of Robin Hood — What The Current Fight With Massachusetts May Bring For The Industry
read more
Jan 15, 2021
The SEC Provides COVID Relief Surrounding Annual Audited Financial Statements & Other Filings
read more
There are no items for this resource type.
Interested in learning more?
get in touch
