Books and Records

The SEC has joined with seven other federal agencies to offer a Web site you can use to construct the appropriate privacy notice for your ...

Some suggest that a best practice would be to keep such logs in a WORM format - write once, read many - which doesn't allow ...

The SEC has expanded the ability of investment advisory firms to rely on a third-party to produce required records in a new no-action letter in ...

    Investment Advisers Act of 1940 — Rules 204-2(a), (b) and (g) Omgeo LLC August 14, 2009   RESPONSE OF THE OFFICE OF CHIEF ...

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

Merrill Lynch settled this case that it violated the Advisers Act books and records rule by failing to maintain records of the offer to deliver ...

Investment Advisers Act of 1940 – Rule 204A-1 and 204-2 Prudential Insurance Company of America March 1, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...

Interpretive Release: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 Securities and Exchange Commission 17 CFR Part 241 ...