Kevin Woodard

Kevin Woodard

Dinsmore & Shohl LLP

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SEC Enforcement Actions Related to Electronic Communications Recordkeeping Failures

On January 13, 2025 the U.S. Securities and Exchange Commission (SEC) announced settled Administrative Proceedings against three broker/dealers and nine investment advisers related to electronic communications recordkeeping...more

1/30/2025  /  Electronic Communications , Enforcement Actions , Financial Institutions , Financial Regulatory Reform , Financial Services Industry , Investment Adviser , Investment Advisers Act of 1940 , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Regulation
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