Books and Records

Commission proposing tweaking record-keeping rule in light of advertising proposal

For nearly three years, Merrill Lynch failed to produce reliable audit trail data requested by Enforcement

Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined qualifications requirements or ...

EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...

Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...

In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording firms the option ...

Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Management ($152M in AUM), were ...

Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after ...

Here's a recap of the SEC's risk alert on e-communications

The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper disclosure ...