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IMPORTANT REMINDERS

Notice to Members: For your convenience, we have prepared brief summaries with links to full NTM notices.  Read More...

Regulatory Compliance welcomes a new COO

Regulatory Compliance is pleased to announce the addition of Peter Butterfield to our team.  Peter brings over twenty years’ of financial and general management experience and assumes the role of Chief Operations Officer with us. 

Peter was the CEO of Agfa Employees Federal Credit Union for 18 years until it merged with Milestone Federal Credit Union.  As Executive Vice President of Milestone, Peter was responsible to operations, finance and marketing.  Milestone then merged with Hanscom Federal Credit Union where Peter was responsible for smooth coordination of the merger.  Since joining us, Peter has shown proven skills in strategic planning, profitability improvement and team coordination.

Peter and his wife, Dolores, live in Massachusetts with their three sons.

Auction Rate Securities by Danielle Paul

CCO Outreach Annual Meeting by Laura Crosby-Brown

Guidelines for Supervision of Proprietary Traders by Lisa Sussman

NASAA Model Designation Rule by Renee Hall

Proposed Revisions to Form U4 and Form U5 by Jane Abramczyk

Protecting your identity and CRD

FINRA and the SEC meet with the SIFMA Internal Auditors Division Seminar by Stephen Sussman

 

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