Books and Records

For small advisers constrained by tight budgets one alternative is contracting for an outsourced CCO. While such an arrangement can ultimately lead to a successful ...

The books and records rule does require a slew of items to be maintained – and shared with inquiring examiners – from “all written communications” ...

It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...

This fraudster allegedly received nearly $1 million from investors to trade foreign exchange (forex) in a commodity pool, by among other things, guaranteeing pool participants ...

(a) Recordkeeping by swap execution facilities, designated contract markets, derivatives clearing organizations, swap dealers, and major swap participants. Each swap execution facility, designated contract market, ...

(a) Each registered swap data repository shall, with respect to all swap data in its custody: (1) Establish and maintain a program of risk analysis ...

(a) A person registered as a swap data repository under section 21 of the Commodity Exchange Act and the rules and regulations thereunder: (1) Shall ...

(a) No person shall be registered as a futures commission merchant or as an introducing broker under the Act unless, commencing on the date his ...

(a) Each futures commission merchant which invests customer funds, and each derivatives clearing organization which invests customer funds of its clearing members' customers, shall keep ...

(a) Definitions. For purposes of this section: Electronic regulatory records means all regulatory records other than regulatory records exclusively created and maintained by a records ...