From Books & Records to SEC Examinations

Getting From Here to There

  • Identifying Records
  • Electronic Record Keeping
  • Recent SEC Document Request Lists
  • Preparation Skills

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Latest Content

Short Selling Restrictions – Staying Ahead of the Regulatory Curve

The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for financial firms, and challenges for compliance departments to keep track of rapidly changing position limits, thresholds by market and timely disclosures. Join CSS experts on Tuesday, June 2nd at 10am EDT in the … Continued