Books and Records

Reactions to the SEC’s final rule revising Form ADV and the books and records rule include gratitude that the agency listened to some industry comments, ...

Compare the Advisers Act’s books and records rule against the CFTC’s rule and you’ll notice many similarities. Both require that you maintain records from the ...

The SEC has adopted amendments to Form ADV and the Advisers Act books and records rule in a bid to provide investors and the Commission ...

KBCM hired a new CFO in November 2011. After he was hired, the new CFO discovered the variances after reviewing the most recent reconciliations and ...

The SEC is investigating potential violations of the federal securities laws arising from the failure of Bantry Bay to produce required books and records in ...

If you’re a CCO at a large investment adviser or broker-dealer, there’s a very good reason you’ll want to be aware of the government’s latest ...

The plug entries resulted in Respondent overstating its assets and income in its fiscal year 2010 financial statements, which were included in its fiscal year ...

NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...

CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal past. ...

The lack of centralized document retention processes and procedures substantially contributed to a failure by Scottrade Inc. to retain a large number of the firm’s ...