• John R.

Are you a SCI Entity? What's in store in 2019?

For those SCI entities that are subject to Reg. SCI compliance, take a look at at this link to OCIE's 2019 Compliance Exam Priorities:

53 views0 comments

Recent Posts

See All

No Day Shall Erase You from the Memory of Time

This is a quote from Virgil on the wall in the National September 11th Museum in lower Manhattan. Tomorrow marks 20 years since the attacks on our country and our freedoms. Please join me in remember

Happy Anniversary BrokerTec!

On June 30th 2000, the BrokerTec system was launched in the US and Europe. Who would have predicted the phenomenal growth that has occurred and that it would make it through two major changes in o