Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Books and Records (139)
Your search for Books and Records returned 139 results.
Sorted by Date

9/10/2019 | Content area: CPO/CTA
RELEASE Number 8005-19 September 10, 2019 Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data Was...
8/29/2019 | Content area: Investment Adviser
Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined q...
8/28/2019 | Content area: Private Fund
EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent b...
5/23/2019 | Content area: Investment Adviser
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s juris...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
4/18/2019 | Content area: Investment Adviser
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/07/2019 | Content area: Investment Adviser
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after he was con...
12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
11/15/2018 | Content area: Investment Adviser
The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissio...
10/25/2018 | Content area: Investment Adviser
To preserve or to destroy. That is the question when it comes to adviser business records.   Of course, Advisers Act rule 204-2 (books and records) su...
10/24/2018 | Content area: Investment Adviser
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P.
10/09/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) tha...
8/16/2018 | Content area: Investment Adviser
Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such p...
7/17/2018 | Content area: Broker-Dealer
BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for thes...
5/21/2018 | Content area: Investment Adviser
A peer shares the firm's policies and procedures for maintaining records.
5/03/2018 | Content area: CPO/CTA
It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance that ma...
4/05/2018 | Content area: Investment Adviser
These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commissio...
3/15/2018 | Content area: Broker-Dealer
The amount of FINRA fines, sanctions, cases, and industry bars were all down in 2017 when compared with the prior year, according to the recent releas...
3/01/2018 | Content area: Broker-Dealer
FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US