Try our Advanced Search for more refined results

SEC Flags Policy Issues At Broker-Dealer, Adviser Branches

By Sarah Jarvis (April 26, 2023, 4:42 PM EDT) -- Broker-dealer and investment adviser firms should make sure their branch offices, and not just their main offices, have policies and procedures on customer records and information, the U.S. Securities and Exchange Commission's examinations division warned in a Wednesday risk alert....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Attached Documents

Related Sections

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!