Books and Records

Sources assert this is an SEC enforcement letter that went to a broker-dealer in the agency's investigation of the business use of e-commmunications channels

A peer shares the firm's P&Ps around records destruction

A peer shares the firm's form for authorizing the destruction of firm records

Giants say they're cooperating

A peer grants RCW permission to share with you the firm's account review form

Should the custody rule end up being replaced, the change would come with revisions to Advisers Act rule 204-2 (books and records) requiring you to ...

Industry groups warn Gensler on overreach

Enforcement Division relying on 'overly broad interpretation,' groups warn

"When any of the account information was updated in the CMS System, however, the previous recorded account information for that category was permanently overwritten and ...

This is the Investment Company Act's books and records rule, as amended in 2023