Books and Records

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

Comments should be received on or before January 3, 2022

The Commission has proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to B-Ds, SBSDs and MSBSPs

"Broker-dealers cannot use static records for their own operational and compliance purposes, so many firms have two systems.  Requiring broker-dealers to maintain a wholly separate, ...

"This proposal updates an electronic recordkeeping rule adopted in 1997. A lot has changed with respect to database management, among other technologies, in the last ...

This is an example of a form employees would sign annually attesting that they acknowledge receipt of compliance materials

One in five deficiencies linked to suitability, NASAA says

The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers

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

Ask your reps to attest that they provided you with accurate information