The Market Access Rule (Rule 15c3-5) remains on FINRA's priority list - they provided guidance on the rule and initiated enforcement actions against firms struggling to adhere to it. Oyster Consulting often works with clients after they've been called to the carpet by the regulators. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulators do. In the first of 2 podcasts covering the Market Access Rule (Rule 15c3-5), Oyster Consultants Joe Sisti and Evan Rosser discuss who's affected, regulatory focus and what firms should be doing to comply.
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