IA- Investment Adviser Books & Records Electronic Directory

The Investment Adviser Books & Records Electronic Directory serves as a useful guide when organizing and mapping an advisory firm’s electronic books & records in accordance with SEC Rule 204-2 (Books and Records to be maintained by Investment Advisers) for SEC registered firms and applicable state requirements for state registered firms. This Guide also assists investment adviser firms in formatting and labeling electronic books & records in a file/sub-file directory format to maintain organized records as well as facilitate the production of books and records during a regulatory examination.

Version/Update: V.2/January 31, 2018

Total Page Count: 6

Source/Author(s): Connexien