Books and Records

The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper disclosure ...

The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissioners is ...

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.

The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) that only solicit and/or accept ...

Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such positions eliminated ...

BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for these records. As ...

A peer shares the firm's policies and procedures for maintaining records.

It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance ...

These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commission rule concerning ...

The amount of FINRA fines, sanctions, cases, and industry bars were all down in 2017 when compared with the prior year, according to the recent ...