Books and Records

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

Merrill Lynch settled this case that it violated the Advisers Act books and records rule by failing to maintain records of the offer to deliver ...

Investment Advisers Act of 1940 – Rule 204A-1 and 204-2 Prudential Insurance Company of America March 1, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...

Interpretive Release: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 Securities and Exchange Commission 17 CFR Part 241 ...

SEC Interpretation: Electronic Storage of Broker-Dealer Records SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 241 [Release No. 34-47806] Electronic Storage of Broker-Dealer Records AGENCY: The ...

This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.

Updated as of: January 23, 2003 Staff Responses to Questions about Regulation S-P The staff of the Division of Investment Management has prepared the following ...

No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...