Books and Records

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23384 / October 9, 2015 Securities and Exchange Commission v. Delaney Equity Group LLC, Civil Action No. ...

Books and records issues continue to plague state-registered investment advisers. The problems account for more than twice as many deficiencies found by state examiners as ...

Broker-dealers failing to comply with their obligation to provide the SEC with reliable blue sheet data will continue to be held accountable. That’s the word ...

This action results from Credit Suisse’s violation of the recordkeeping and reporting requirements of Section 17(a) of the Exchange Act and Rules 17a-4(j) and 17a-25 ...

It’s taken nearly one year but the CFTC has granted exemptive relief to commodity trading advisors that don’t direct any trading of commodity interest accounts ...

As the July 21 initial comment period closes in on the Department of Labor’s controversial fiduciary duty rule proposal, the likes of President Obama, the ...

This matter relates to Deutsche Bank’s overvaluation of certain Leveraged Super Senior (LSS) trades during the height of the global financial crisis which resulted in misstatements ...

This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.

You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...

This case involves an alleged scheme to lure investors to participate in a commodity pool that traded leveraged or margined retail off-exchange foreign currency (forex) ...