New SEC Rules and Amendments Shorten the Standard Securities Transaction Settlement Cycle to T+1
Quadrant Regulatory Group
Financial Services
New York, NY 173 followers
Your Guide to Compliance
About us
Quadrant Regulatory Group provides services that support compliance with SEC, FINRA, MSRB, NFA and state securities law. Our services include, but are not limited to, FINOP and accounting support, compliance program development, risk assessments and testing, policy and procedure development, regulatory exam preparation, and ongoing compliance monitoring. Our team of experts has a deep understanding of the regulatory landscape, and we stay up to date on the latest changes and developments to ensure that our clients are always ahead of the curve. With our help, you can rest assured that your organization is fully compliant with all relevant regulations and can focus on your core business priorities.
- Website
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http://www.quadrantregulatory.com
External link for Quadrant Regulatory Group
- Industry
- Financial Services
- Company size
- 2-10 employees
- Headquarters
- New York, NY
- Type
- Privately Held
- Founded
- 2011
- Specialties
- Compliance Consulting, Supervisory Controls Testing, Membership Applications, Annual Rule 206 Reviews, FinOp and Accounting, Annual Compliance Meeting, Anti-Money Laundering Tests, Compliance Training, Investment Adviser Consulting, CRD, BCP, NMA, CMA, WSP, 3120, AML, FINOP, and 15c3-1
Locations
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Primary
Get directions
122 E 42nd St
Suite 2902
New York, NY 10168, US
Employees at Quadrant Regulatory Group
Updates
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FINRA Adopts Residential Supervisory Location and Remote Inspections Pilot Program, and Announces End of Temporary Relief Related to Updates of Office Information.
FINRA Adopts Residential Supervisory Location and Remote Inspections Pilot Program, and Announces End of Temporary Relief Related to Updates of Office Information on Forms U4 and BR - Quadrant Regulatory Group
quadrantregulatory.com
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FINRA Proposes Changes to Advertising Rule 2210
Proposed FINRA Advertising Rule 2210 Change - Quadrant Regulatory Group
quadrantregulatory.com
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FINRA has proposes a short-form membership application process for broker-dealers who wants to affect security transactions on places other than an exchange.
FINRA Registration Update - Quadrant Regulatory Group
quadrantregulatory.com
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Check out our key takeaways from FINRA's 2024 Annual Regulatory Oversight Report.
Staying Ahead of the Curve: Key Takeaways from FINRA's 2024 Annual Regulatory Oversight Report - Quadrant Regulatory Group
quadrantregulatory.com
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Quadrant Regulatory Group reposted this
⚠️ LockBit, one of the most deployed ransomware variants in recent years, continues to impact organizations across the globe, including FINRA member firms. Our Cyber and Analytics Unit is actively alerting firms about the increased activity of this threat actor to heighten awareness and visibility of this risk. Learn more: https://bit.ly/494Yt2A
Cybersecurity Alert - LockBit (Threat Actor)
finra.org
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Summary of FINRA Regulatory Notice 23-21
Summary of FINRA Notice - Quadrant Regulatory Group
quadrantregulatory.com
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Quadrant Regulatory Group reposted this
Cybersecurity Alert ⚠️ We are highlighting recently reported vulnerabilities that impact Citrix NetScaler services including NetScaler ADC and NetScaler Gateway. Threat actors can exploit these vulnerabilities to exfiltrate sensitive information and to infect data and systems with ransomware. Learn more: https://bit.ly/47wlH0V
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Quadrant Regulatory Group reposted this
Robert Cook does such a fantastic job explaining the importance of small firms, as well as the many opportunities firms have to get involved with FINRA. Give this podcast a listen!
Check out a behind-the-scenes fireside chat between FINRA's CEO Robert Cook and Head of Member Relations Kayte Toczylowski from this year's Small Firm Conference! Gain valuable insights from their discussion on the latest episode of #FINRAUnscripted here 🎧 https://bit.ly/49Eyhgb