CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...
He failed to take necessary steps to do so despite being on notice of the rule’s requirements and was aware of the ongoing failures in ...
The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...
SEC rule restricts certain PF adviser activities
This is another new Advisers Act rule directed at PF advisers in 2023
This Adviser Act rule lays out how PF advisers should handle certain secondary deals
This is the Advisers Act rule directed at how PF advisers handle quarterly statements
These are the key definitions under the SEC's PF compliance rules
This is the SEC's rule on PF audits
This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule