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Financial Services Weekly News Roundup - February 2023 | Goodwin

February 14, 2023

Federal Reserve Issues Policy Statement on Section 9(13) of the Federal Reserve Act - On January 27, the Federal Reserve issued a policy statement interpreting section...

United States Exchange Act Section Deposit Insurance Corporation Division Of Examinations Risk Monitoring Program Federal Reserve

Source: jdsupra.com

Broker-Dealer Compliance With Revamped Recordkeeping Requirements Begins May 3, 2023; FINRA Publishes Chart of "Most Significant Changes" | Goodwin

January 25, 2023

The SEC recently amended Exchange Act Rule 17a-4 by adopting new recordkeeping requirements for broker-dealers. Most notably, the SEC will no longer require broker-dealers to maintain...

Cloud Service Providers Risk Monitoring Program Exchange Act Rule Electronic Recordkeeping Requirements Redundant Recordkeeping System Management Responsibility

Source: jdsupra.com

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Its Examination News Today

Financial Services Weekly News Roundup - February 2023 | Goodwin

Broker-Dealer Compliance With Revamped Recordkeeping Requirements Begins May 3, 2023; FINRA Publishes Chart of "Most Significant Changes" | Goodwin

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