Season 2 Episode 12:

Part 2: Broker Dealer Compliance Deep Dive: Beyond Registration — Operations, Marketing, AI, Reg BI, and Ongoing Oversight

Compliance does not end after registration. In Part 2 of this broker-dealer compliance series, Jephte Lanthia and Erik Dolan explore the ongoing regulatory, operational, and supervisory responsibilities that broker-dealers face, from Regulation BI and advertising oversight to examinations, vendor management, and AI-assisted compliance tools.

Podcast: Play in new window | Download | Embed

Subscribe: RSS

Watch on YouTube

Part 2 of the Broker Dealer Compliance podcast series shifts the focus from broker-dealer registration to the operational realities of sustaining a compliant securities business over time. Jephte Lanthia and Erik Dolan discuss Regulation BI, communications with the public, AI-assisted surveillance, vendor oversight, examinations, and enforcement considerations, while emphasizing the importance of supervision systems that can withstand regulatory scrutiny in practice.

Podcast highlights you shouldn’t miss:

How Regulation BI shapes broker-dealer recommendations, disclosures, and investor protection obligations.
Why FINRA communications and advertising rules require firms to carefully substantiate public-facing claims and marketing content.
How broker-dealers are beginning to use AI tools for communications review, surveillance, and compliance supervision workflows.
What firms should do immediately after receiving notice of a FINRA or SEC examination or inquiry.
When operational changes may trigger a Continuing Membership Application (CMA) under FINRA rules.

Guest: Erik Dolan

Erik Dolan is a compliance and risk management professional with more than 25 years of experience in financial services. He has served in regulatory and compliance roles with organizations including the MSRB, FINRA, and the CFTC, advising firms on complex regulatory and enforcement matters. Erik has worked with investment advisers, private equity firms, broker-dealers, and fund complexes, helping organizations strengthen compliance programs and navigate evolving regulatory requirements.

If this episode resonates with what you’re working through, contact info@basswoodcounsel.com. We’ll help you bring clarity to the key decisions, risks, and priorities, with the right support across our complementary practice areas.

Share:

More Podcasts

Moving from the U.S. to Spain: Tax and Estate Planning

U.S. individuals considering a move to Spain may need to plan for two different tax and estate-planning systems. Chris Klug and Meritxell Mont discuss key cross-border considerations before and after

Cross-Border Business U.S. and Spain: Types of Entities and Structuring Options

Chris Klug and Meritxell Mont compare U.S. and Spanish business entity structures and discuss tax, liability, and operational considerations for companies expanding between the two countries.

U.S. Business Structures: Legal and Tax Choices Across Borders

Choosing a U.S. business structure involves legal, tax, state-level, and cross-border considerations. Chris Klug and Meritxell Mont discuss LLCs, corporations, tax classification, and international coordination.

Structuring U.S. Expansion for Spanish Companies

U.S. expansion for Spanish companies can involve both federal requirements and state-specific legal, tax, and employment considerations. This conversation explores how businesses can approach those issues when planning their U.S.

Send Us A Message