Eliza Gonzalez

Eliza Gonzalez

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SEC Adopts Amendments to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers

On October 12, 2022, the Securities and Exchange Commission (SEC or Commission) voted to adopt amendments to the electronic recordkeeping requirements for broker-dealers and security-based swap dealers contained in Rules...more

11/30/2022  /  Amended Regulation , Broker-Dealer , Electronic Records , Electronically Stored Information , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Security-Based Swaps , Swap Dealers , Swaps
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