Books and Records

The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissioners is ...

The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) that only solicit and/or accept ...

Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such positions eliminated ...

BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for these records. As ...

It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance ...

These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commission rule concerning ...

The amount of FINRA fines, sanctions, cases, and industry bars were all down in 2017 when compared with the prior year, according to the recent ...

FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers’ registered persons. The SRO ...

“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk alert. It points ...

You’ve had 90 days to get ready for a new rule you’re likely to embrace.   The CFTC’s new recordkeeping rule takes effect Aug. 28, ...