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News + Insights - BD Compliance

Get the latest industry and Red Oak news here.

Tuesday, April 21 2020

BD Compliance Checklists Cybersecurity IA Compliance News

Supporting Clients and Defending Against Cybersecurity Threats During COVID-19

Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals.... [...]

Monday, April 20 2020

BD Compliance News

New SEC Guidance for Broker-Dealers

New SEC Guidance Makes it Easier for Broker-Dealers to Offer Cash Sweep Programs Cash sweep accounts can provide broker-dealers a convenient way to support their clients and ensure they’re wisely... [...]

Tuesday, April 7 2020

BD Compliance IA Compliance News

Red Oak Compliance Solutions Celebrates 10th Anniversary

This March marked the 10th anniversary of Red Oak Compliance Solutions. The journey started for our founders in 2006 when they initially worked together at a hybrid broker-dealer/RIA and built... [...]

Monday, April 6 2020

BD Compliance Cybersecurity IA Compliance News

COVID-19 Cyber Safety for Our Clients

These past few weeks continues to present us with unprecedented personal and professional challenges. During this time, the Red Oak team remains committed to prioritizing the safety of our employees... [...]

Friday, April 3 2020

BD Compliance IA Compliance News

Date for Reg BI Remains Unchanged

Ramifications related to COVID-19 have spread far and wide. They range from only “essential business” remaining open to how we buy groceries and other goods to an extension for filing... [...]

Monday, March 30 2020

BD Compliance IA Compliance

Making the Cut: Factors for Registrant Examination

Numerous factors are taken into consideration when the SEC’s Office of Compliance Inspections and Examinations (OCIE) compiles its annual list of registrants to audit. In a recent conference call conducted... [...]

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