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SEC Announces Long-Awaited Updates To Broker-Dealer Recordkeeping Requirements - Corporate/Commercial Law

Published: December 27, 2021

Under the current recordkeeping requirement for broker-dealers, set forth in SEC Rule 17a-4, broker-dealers may retain records in paper format or electronically.

Source: mondaq.com

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Commodity Futures Trading CommissionFinancial Industry Regulatory AuthorityAudit Trail AlternativeRecordkeeping RulesSecurity Based SwapSec Announces Long Awaited Updates To Broker Dealer Recordkeeping RequirementsAccounting And AuditCorporate Commercial LawCorporate And Company Law