Books and Records

FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers’ registered persons. The SRO ...

A peer shares the RIA's compliance manual, complete with numerous P&Ps.

Click here to download a Word file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. This is an attestation form for reps ...

“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk alert. It points ...

You’ve had 90 days to get ready for a new rule you’re likely to embrace.   The CFTC’s new recordkeeping rule takes effect Aug. 28, ...

Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered compliance consulting and Chief Compliance Officer (“CCO”) services ...

The Commodity Futures Trading Commission (the “Commission”) is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions ...

A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's books ...

This is an example of a trade ticket submitted by a peer.

Comments about the CFTC’s proposed recordkeeping rule should provide a test of the new Trump Administration’s regulatory philosophy (CPO/CTA Watch, Jan. 18, 2017). The industry’s ...