Books and Records

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

A peer shares the firm's policies and procedures for maintaining records

FAQ tackles how new realities play with rules pertaining to gifts and entertainment

New order updates filing threshold for first time in nearly 30 years

This is an example of a trade ticket submitted by a peer

Whatever your document destruction approach is, be consistent

Certain records may be exempt from your destruction policy

Commission proposing tweaking record-keeping rule in light of advertising proposal

For nearly three years, Merrill Lynch failed to produce reliable audit trail data requested by Enforcement

Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined qualifications requirements or ...