Twas the night before Christmas

Algo traders watch out!
December 9, 2015
The SEC Worries About Your Emails…
December 21, 2015
Show all

Twas the night before Christmas






‘Twas the night before Christmas, the office was bare,’Cept the CCO still battling FINRA’s new, New Year’sscare.The reports were piled high to the ceiling and back,in hopes that his effort would guard his back.The children were nestled all snug in their beds,while visions of FINRA danced in his head.With the boss staring down at the scary fine,It was all he could do to get it finished in time.





When out from the computer arose such a clatter,He fell from his chair  – What on earth was the matter!It opened up Windows and despite his defiance He was staring at software that managed compliance!

With a tap of a key so lively and quick, He thought in the moment it must be trick. More rapid than eagles, the modules came, with each screen a solution that changed the game.



“From Dashboard ! to Messaging! From Procedures to Gifts! On Marketing – Brand Audits His gloom! suddenly lifts

So for all the SEC regulations! On which they might call! Now dash away! Dash away! Dash away all!”








He got up from his desk and ran out to the street, Jumped into a cab –home for the holidays felt sweet.But I heard him exclaim, ‘as he drove out of sight,

“Happy Compliance to all, and to all a good night!”