Books and Records

HSI contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer. HSI had already initiated a review of ...

Here's a tool to help you track off-channel communications

This list comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.

Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels

A peer shares the firm's P&Ps around records destruction

A peer shares the firm's form for authorizing the destruction of firm records

Giants say they're cooperating

A peer grants RCW permission to share with you the firm's account review form

Should the custody rule end up being replaced, the change would come with revisions to Advisers Act rule 204-2 (books and records) requiring you to ...

Industry groups warn Gensler on overreach