Books and Records

A peer shares the firm's P&Ps around records destruction

A peer shares the firm's form for authorizing the destruction of firm records

Giants say they're cooperating

A peer grants RCW permission to share with you the firm's account review form

Should the custody rule end up being replaced, the change would come with revisions to Advisers Act rule 204-2 (books and records) requiring you to ...

This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule

Industry groups warn Gensler on overreach

Enforcement Division relying on 'overly broad interpretation,' groups warn

"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...

The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs