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This article discusses the need for business continuity plans and includes a broad overview of the requirements imposed on broker‐dealers. A section discusses “top 10” questions for firms to ask themselves when developing a plan. References include NYSE and NASD rules and other resources available for developing a plan. Key requirements and critical dates also are included.

A basic primer on dealing with the SEC Order handling rules. There are several compliance deadlines that rapidly approach for these disclosure requirements.

This article offers a practical approach to demonstrating the pitfalls of broker‐dealers not preparing written supervisory procedures. By showing examples of legal complications that can arise, as well as outlining the current regulatory directives in favor of written procedures, the author emphasizes that written supervisory procedures cannot be treated lightly or as a back‐burner issue.

This is a “how‐to” guide for compliance professionals with regard to money laundering issues. It's a must‐read for all broker‐dealer attorneys and compliance analysts who want to know what's required of broker‐dealers by the Office of Foreign Assets Control (OFAC) and what “red flags” to look out for.

The focus on supervision began in the 80’s when the insider trading scandal resulted in visions of Wall Street investment bankers in handcuffs being led away from their offices. The New York Stock Exchange was on the hot seat for perceived failings. The 90s were dominated by the “price‐fixing” scandal in the over‐the‐counter markets, with OTC traders and the NASD sharing the limelight. Then there were mutual fund late trading, research, variable annuities, 529 college savings plans, etc., Now a branch manager in Cleveland, Ohio has precipitated a new wave of supervisory rules.