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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)
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