Kyle Whitehead

Kyle Whitehead

Morgan Lewis

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SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements

On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and...more

10/28/2022  /  (SEC) Rule 17a-4 , Books & Records , Broker-Dealer , Compliance , Data Preservation , Financial Regulatory Agencies , Financial Services Industry , Recordkeeping Requirements , Securities and Exchange Commission (SEC)

SEC Proposes Amendments to Electronic Recordkeeping Requirements

While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or...more

12/17/2021  /  Broker-Dealer , Distributed Ledger Technology (DLT) , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Proposed Amendments , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act
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