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
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. The Financial Industry Regulatory Authority, Inc....more
SEC approves FINRA rule designed to protect seniors and other specified adults from financial exploitation.
The Securities and Exchange Commission (SEC) has approved a new rule proposed by the Financial Industry...more