GRIP2 min read
GRIP2 min read
GRIP4 min read
SEC Rule 17a-1
The documents to be kept and preserved include all
The documents must be retained for a period of at least five years. They must remain easily asscessible for the first two years.
When requested they must be promptly furnished to the SEC.
With Donald Trump promising more deregulation in the US and businesses upset about red tape, the EU is now searching for balance.
The Financial Times9 min read
Certain broker-dealers must now compute customer and reserve deposit requirements, making required deposits into reserve accounts on a daily rather than weekly basis.
Julie DiMauro3 min read
Other news includes a startling fact about North Korean crypto theft, a damning report about the management of Credit Suisse, and a potential Honda-Nissan merger.
GRIP1 min read
The SEC said the company understated the "All Other Compensation" portion of its CEO's compensation by an average of 94 percent over three fiscal years.
Julie DiMauro1 min read
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.
Alexander Barzacanos2 min read
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
Julie DiMauro1 min read
In a narrowly-obtained decision, the Fifth Circuit determined that approving the rule exceeded the SEC’s power.
Alexander Barzacanos1 min read
Contractual provisions to arbitrate disputes can be less-than-transparent and restrictive -- but also sometimes cheaper and less burdensome than litigation.
Julie DiMauro2 min read