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

What Really Happens in an M&A Deal?

From first contact to post-closing integration, M&A transactions demand structure, foresight, and resilience. In this episode, we explain how understanding the process helps owners navigate risk, timing, and negotiation more

Coming to America: Structuring Your U.S. Expansion

For non-U.S. companies, the decision to operate in the U.S. is as much a tax decision as a business one. In this episode, we break down how footprint, structure, and

A Year of Change: Navigating New Rules in Securities, Crypto, and Financial Markets

A year of regulatory change has reshaped how businesses approach securities, fintech, and digital assets in the U.S. In this anniversary episode, Hazvinei Mugwagwa and Jephte Lanthia reflect on what

From Tax Cuts to New Opportunities: Key Highlights of the One Big Beautiful Bill Act

The One Big Beautiful Bill Act introduces significant and permanent changes that reshape tax planning for both individuals and businesses. In this episode, Chris Klug and Gina Lee walk through

Send Us A Message