Books and Records

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 ...

NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...

CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal past. ...

The lack of centralized document retention processes and procedures substantially contributed to a failure by Scottrade Inc. to retain a large number of the firm’s ...

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23384 / October 9, 2015 Securities and Exchange Commission v. Delaney Equity Group LLC, Civil Action No. ...

Books and records issues continue to plague state-registered investment advisers. The problems account for more than twice as many deficiencies found by state examiners as ...

Broker-dealers failing to comply with their obligation to provide the SEC with reliable blue sheet data will continue to be held accountable. That’s the word ...

This action results from Credit Suisse’s violation of the recordkeeping and reporting requirements of Section 17(a) of the Exchange Act and Rules 17a-4(j) and 17a-25 ...

It’s taken nearly one year but the CFTC has granted exemptive relief to commodity trading advisors that don’t direct any trading of commodity interest accounts ...

As the July 21 initial comment period closes in on the Department of Labor’s controversial fiduciary duty rule proposal, the likes of President Obama, the ...