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The SEC’s Enforcement Division is conducting a sweep investigation of large investment advisers regarding their employees’ use of “off-channel” communications. The sweep, which has...
SEC Enforcement Division is conducting sweep investigation of large investment advisers over employees’ use of off-channel communications. Sweep focuses on text messages from personal phones, personal email, WhatsApp, other platforms not typically monitored by advisers.
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.
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On March 1, 2021, the White House Office of Management and Budget received for review under Executive Order 12866 from the EPA a proposed rule entitled Reporting and Recordkeeping for Perfluoroalkyl or Polyfluoroalkyl Substances Under Section 8(a)(7) of the TSCA.