Books and Records

Compliance P&Ps tied to the ad rule “should include objective and testable means reasonably designed to prevent violations of the final rule in the advertisements ...

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 ...

The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)

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

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

FAQ tackles how new realities play with rules pertaining to gifts and entertainment

New order updates filing threshold for first time in nearly 30 years

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

Whatever your document destruction approach is, be consistent

Certain records may be exempt from your destruction policy