The federal securities laws impose recordkeeping requirements on broker-dealers and registered investment advisers to ensure that they responsibly discharge their crucial role in our markets.
These proceedings arise out of the widespread and longstanding failure of USBI employees throughout USBI, including at senior levels, to adhere to certain of these ...
This is the SEC's semiannual regulatory agenda as published in February 2024.
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The Firms failed to keep for prescribed periods, and furnish copies of, such business–related records as necessary or appropriate in the public interest or for ...
"Today’s adoption enhances the Commissions’ and FSOC’s understanding of the private fund industry as well the potential systemic risk posed by the industry and its ...
"Even a partial list of the additional data we will now collect with these revisions is dizzying . As one commenter put it, 'the Commissions appear ...
"The increasing granularity of the Form PF obligations raises important questions about what measures are being taken to protect the investors in the private funds ...
"Cybersecurity risks represents an ongoing threat to Federal government agencies .... The ability of Federal agencies such as the SEC and CFTC to securely maintain ...