This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list. .. Read more This seminar will not only cover the nuts and bolts of the SEC books and records rule, including recent amendments, but will incorporate an overview of the SEC’s expectations regarding non-required records that are included in the SEC examination document request list, samples of which will be provided. Paper and electronic storage of records, including email technology and solutions, will be discussed as will record management practices that help advisers avoid common examination deficiencies. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204-2, to become familiar with the structure and terms, and sample SEC examination request lists.
- Share your Experience