Books and Records

One in five deficiencies linked to suitability, NASAA says

The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers

A peer shares the RIA's compliance manual, complete with numerous P&Ps

Ask your reps to attest that they provided you with accurate information

Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...

A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's books ...

The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)

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