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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Hashtag: #BooksAndRecords

Rules & Regulations

Third-Party Recordkeeping - A Reminder

July 2, 2019

Regulatory Sanctions

A 'Stitch in Time (Usually) Saves Nine', But Not for This Broker

June 13, 2019

Regulatory Sanctions

Broker Overindulges in a Firm's Permission to Use Personal Email

May 8, 2019

Regulatory Sanctions

Broker's Negligence On Display in Presentations to Customers

April 29, 2019

Regulatory Sanctions

Broker First Botches Customer’s Retirement Contribution, Then Screws Up Career

March 31, 2019

Regulatory Sanctions

A Branch Manager and His Well Oiled Machine, Nailed by FINRA

March 1, 2019

Regulatory Sanctions

Pattern of Violations, Starting with Broker’s Use of Personal Email

February 12, 2019

Regulatory Sanctions

Broker Caught Sharing Commissions with Sales Assistant

January 28, 2019

Regulatory Sanctions

Books and Records: If You ‘See Something, Say Something’

November 12, 2018

Regulatory Sanctions

Broker Deleted Customer Records from Firm Database

November 8, 2018

Regulatory Sanctions

Personal Emails: Veteran Broker Shoots Himself in the Foot

October 23, 2018

Regulatory Sanctions

Citigroup Fined over 'Books and Records' and 'Trader Supervision' Violations

August 16, 2018

Regulatory Sanctions

Email Review and Preservation – Ineffective Procedures, Poor Execution

July 26, 2018

Regulatory Sanctions

Broker Exercises Discretion on Customer’s Verbal Permission - Not OK

May 7, 2018

Regulatory Sanctions

Veteran Brokers Throw Away Careers by Fronting as Broker of Record on Annuity Sales

June 22, 2017

Compliance Concepts

SEC Issues RIA Risk Alert: Five Most Frequent Compliance Topics in SEC Exams

February 9, 2017

Regulatory Sanctions

Merrill Settles FINRA Systemic Reporting, Books & Records Charges

October 18, 2016