Welcome to the 2014 Broker-Dealer Best Practices Survey
Thank you for agreeing to participate in the 2014 Broker-Dealer Best Practices Survey organized by ACA Compliance Group ("ACA"), Global Relay, and the National Society of Compliance Professionals ("NSCP"). Your responses will provide valuable feedback on the practices of broker-dealer compliance professionals and help identify key compliance trends. The survey will also generate insights that can be put to practical use at your firm.
The 2014 Broker-Dealer Best Practices Survey is open to compliance professionals at FINRA-registered broker-dealers. The questions take approximately 10 to 15 minutes to complete and must be done in one sitting, so please plan accordingly. The response period will close July 11, 2014. We ask that you submit your answers no later than that date.
Note that this survey does not require you to identify yourself or your firm. All participants will remain anonymous. All responses will be kept confidential.
As part of this effort, ACA, Global Relay, and NSCP will host a webcast on August 12, 2014 to report and discuss the survey results. Among our panelists will be Merri Jo Gillette of Morgan Lewis. You can register for this complimentary event quickly and easily via a link included in the questionnaire.
Again, thank you in advance for your participation. If you have any questions, please contact
Dee Stafford, ACA Compliance Group, (310) 322-8840 or dstafford@acacompliancegroup.com
John Russo, Global Relay, (866) 484-6630 or john.russo@globalrelay.net
Lisa Crossley, NSCP, (860) 672-0843 or lisa@nscp.org