Books and Records

The SEC has brought its first-ever enforcement action resulting from the Commission’s Asia hiring referral sweep. JPMorgan Chase & Co. will have to pay over ...

The inaccurate reporting of millions of trades over the course of almost five years has now cost Merrill Lynch $2.8 million. FINRA fined the firm ...

Morning calls, trading day squawks, idea dinners, and non-deal road shows all afforded Deutsche Bank Securities, Inc.’s equity research analysts ample opportunities to communicate with ...

Reactions to the SEC’s final rule revising Form ADV and the books and records rule include gratitude that the agency listened to some industry comments, ...

Compare the Advisers Act’s books and records rule against the CFTC’s rule and you’ll notice many similarities. Both require that you maintain records from the ...

The SEC has adopted amendments to Form ADV and the Advisers Act books and records rule in a bid to provide investors and the Commission ...

KBCM hired a new CFO in November 2011. After he was hired, the new CFO discovered the variances after reviewing the most recent reconciliations and ...

The SEC is investigating potential violations of the federal securities laws arising from the failure of Bantry Bay to produce required books and records in ...

If you’re a CCO at a large investment adviser or broker-dealer, there’s a very good reason you’ll want to be aware of the government’s latest ...

The plug entries resulted in Respondent overstating its assets and income in its fiscal year 2010 financial statements, which were included in its fiscal year ...