About Securities Compliance Advisors, LLC
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Securities Compliance Advisors, LLC (SCA) is a leading regulatory consulting firm providing compliance and registration products and services to  broker-dealers, traditional investment advisers and hedge fund and private equity fund managers. We are known for our ability to design practical compliance solutions that meet the specific needs of our clients rather than taking a "one size fits all" approach. Our consultants stay in regular contact with SEC, FINRA and state securities regulators so our clients are always up to date on the latest regulatory trends and priorities.

SCA clients include multi-national financial services companies, hedge fund and private equity fund managers, family offices, institutional and retail advisers, and broker-dealers covering a broad range of activities including general securities, investment company products, public finance, institutional equity, mergers & acquisitions, private placements, international securities, research, and investment banking. SCA clients are located throughout the U.S. and internationally.

SCA has been offering compliance consulting services and products since 1996. The firm?s staff and associates are comprised of industry experts in securities regulation including accountants, attorneys, former regulators, industry executives and compliance officers.

Privacy-Comments and Perspective on Privacy Programs 

by Barry Hollander

With the proliferation of identity theft, the imposition of new regulations regarding the protection of nonpublic consumer personal information, and the increased focus by regulators on privacy matters during examinations, financial institutions are beginning to reevaluate the privacy policies and procedures they have in force which are intended to protect such information.

Firms must assess every aspect of their policy beginning with identifying what information needs to be protected to the eventual disposal of that information. Read Whitepaper

FINRA Consolidated Rules to Impact all Member Firms? Supervisory and Compliance Programs

Summarized from FINRA Website by SCA Staff

Recently, the Financial Regulatory Authority (FINRA) has been proposing new consolidated rules in phases for approval by the Securities and Exchange Commission (SEC) as part of the process of combining the rules of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) into one consolidated rulebook.  Read Full Summary

FINRA Form U4 and U5 Amendments to Affect all Registered Representatives

Summarized from FINRA Website by SCA Staff

Recently, the Securities and Exchange Commission (SEC) approved amendments to Forms U4 and U5 as well as Financial Industry Regulatory Authority (FINRA) Rule 8312.  Read Full Summary