Tag Archives: Rule17a-4

Implementation Deadline for Amended Electronic Recordkeeping Rules for Broker-Dealers Nears

In October 2022, the Securities and Exchange Commission (“SEC”) adopted amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants. The amendments impacting broker-dealers … Continue reading Implementation Deadline for Amended Electronic Recordkeeping Rules for Broker-Dealers Nears