Books and Records

(a) Definitions. For purposes of this section: (1) Access person means: (i) Any Advisory Person of a Fund or of a Fund's investment adviser. If ...

(a)(1) Except as provided in this section, it shall be unlawful for any registered open-end management investment company (other than a company complying with the ...

(a) A person registered as a swap data repository under section 21 of the Commodity Exchange Act (7 U.S.C. 24a) and the rules and regulations ...

(a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled ...

(a) Every person registered or required to be registered under section 15B of the Act (15 U.S.C. 78o-4) and the rules and regulations thereunder shall ...

(a) Every member, broker and dealer subject to §240.17a-3 shall preserve for a period of not less than six years, the first two years in ...

(a) This section shall apply to every broker or dealer registered with the Commission pursuant to section 15 of the Act. (b)(1) Every broker or ...

It shall be unlawful for any person to make any contract for the purchase or sale of any commodity for future delivery on or subject ...

(a) Every security-based swap data repository shall make and keep current the following books and records relating to its business: (1) A record for each ...

This case claims that at least three customers were taken by a defendant who claimed that he was a licensed broker when in reality his ...