Shannon Sanderson, Author at ACI

About Shannon Sanderson

This author has not written his bio yet.
But we are proud to say that Shannon Sanderson contributed 33 entries already.

Entries by Shannon Sanderson

FINRA Plans BrokerCheck Changes, Remote Exams – www.ThinkAdvisor.com

November 6, 2017/in Informational, News, Regulatory Updates/by Shannon Sanderson

http://www.thinkadvisor.com/2017/10/06/finra-plans-brokercheck-changes-remote-exams?page=1&slreturn=1509990198

Jay Gettenberg Becomes A Member of the FINRA District 10 Committee

October 25, 2017/in Informational, News/by Shannon Sanderson

FINRA is looking to help small Broker-Dealers Survive & Thrive

October 20, 2017/in Informational, News/by Shannon Sanderson

Per Investment News, FINRA’s new CEO, Robert Cook, is looking for ways to support the small broker-dealers. http://www.investmentnews.com/article/20171012/FREE/171019969/finra-wants-to-help-the-small-broker-dealer-cook?X-IgnoreUserAgent=1

The Impact of PCAOB and How ACI Can Help Reduce Audit Fees

April 27, 2017/in Regulatory Updates/by Shannon Sanderson

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 designated the Public Company Accounting Oversight Board as the regulatory agency responsible for overseeing the audits of all broker dealers registered with the Securities and Exchange Commission. Over the past 7 years, the PCAOB has performed extensive reviews of audit files, scrutinizing independence, documentation […]