Isabela Palmieri

Isabela Palmieri

Troutman Pepper

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SEC Modernizes Its Recordkeeping Requirements for Certain Registrants

On October 12, the Securities and Exchange Commission (SEC) voted to adopt new electronic recordkeeping requirements for broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs)...more

11/4/2022  /  Broker-Dealer , Major Swap Participants , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Security-Based Swaps , Swaps
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