Oyster Consulting, LLC

Don't miss this week's Oyster Stew podcast as our experts share how significant growth can affect broker-dealer FINRA registration requirements. https://hubs.la/Q02SLbpt0 From identifying key triggers like mergers and substantial asset transfers to understanding the importance of resolving outstanding customer claims, this episode is packed with invaluable insights to help you make informed decisions during your firm's expansion journey. Lisa Robinson Ed Wegener

Davenport & Company LLC Implements Oyster Solutions GRC Software - Discover how Oyster Solutions provides firms with scalable technology to conduct trade supervision, surveillance, testing and oversight. https://hubs.la/Q02Sx1Yd0 With Oyster Solutions, your firm can accommodate expanding operations while staying ahead of increasing surveillance and compliance demands. Watch a demo: https://hubs.la/Q02SwHT60 Buddy Doyle

Learn what impact recent federal court rulings have on broker-dealers’ and investment advisors’ requirements when it comes to making rollover recommendations. https://hubs.ly/Q02R-MMq0 Ed Wegener

Read this week's blog by Oyster's Bill Reilly to get the latest from NASAA on regulatory initiatives and updates - from Remote Supervisory Locations and Form U4 revisions to Continuing Ed requirements, and more. https://hubs.la/Q02RDM3p0

Adapting your infrastructure while managing your firm's growth can present unique challenges. Listen to this week's Oyster Stew Podcast https://hubs.la/Q02Rdf8N0 as industry experts Ed Wegener, Brent Nicks and Pete McAteer share their insights on scaling your business for sustainable growth.

Satisfy regulators' expectations - read this week's blog by Bill Reilly and get the strategies you need to craft effective written supervisory procedures for remote locations. https://hubs.la/Q02QZC4V0

Oyster's Bryan Jacobsen will be at the ACAMS Conference next week - be sure to chat with Bryan about how Oyster can provide your firm with practical AML and compliance solutions. More about Bryan: https://hubs.la/Q02QfBVT0

Major firms are under scrutiny for legal and regulatory challenges around their cash sweep programs - it's time to reassess practices and enhance transparency. https://hubs.la/Q02Qb5_60 Oyster Consulting will review your sweep documents, test your disclosures and processes, design your Reg BI conflicts process, as well as provide data analytics and remediation of SEC findings. Find out how we can help your firm today. Bill Davis

Oyster would like to thank all of our Oyster Stew podcast listeners - this week Oyster Stew reached 10,000 downloads! You can listen to our latest podcast, a conversation with Envestnet's Andrew Stavaridis here: https://hubs.ly/Q02PZ0tN0 Get the information you need from industry experts today.

Oyster Consulting is the partner you need to achieve net capital compliance. https://hubs.la/Q02PKCnb0 Our licensed, outsourced FINOPs have decades of experience supervising finance teams. They will prepare your firm's net capital computations, FOCUS Reports, SIPC’s semi-annual reports, and support senior management. Olga Rip