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Tag: Recordkeeping Compliance

SEC Recordkeeping Enforcement Continues to Result in Large Penalties for Off-Channel Communications
Industry News
July 14, 2023
SEC Recordkeeping Enforcement Continues to Result in...

The list of firms that have been charged in less than 12 months with recordkeeping […]

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Broker-Dealer Regulatory Update: Amended Electronic Recordkeeping Requirements
Regulatory Update
October 25, 2022
Broker-Dealer Regulatory Update: Amended Electronic Recordkeeping Requirements...

On October 12, 2022, the SEC adopted amendments to the electronic recordkeeping, prompt production of […]

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