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Data Collection Regulatory Requirements Securities and Exchange Commission (SEC)

Katten Muchin Rosenman LLP

SEC Signals Reevaluation of CAT Reporting Amid Broader Transparency and Regulatory Reform Efforts

Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated Audit Trail (CAT), focusing on the escalating costs, reporting requirements, and...more

King & Spalding

SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers

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Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the business of the broker-dealer is...more

J.S. Held

Off-Channel Communications: How Financial Services Organizations Can Address Regulators’ Latest Target

J.S. Held on

As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more

Hanzo

The Pros and Cons of Using APIs for Web Archiving

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If you’re a regular reader of Hanzo, we’ve probably already convinced you that you need to be archiving any social media profiles that your organization maintains, along with your website. Chances are you’ve heard us talk...more

Hanzo

WARC and WORM Digital Storage: Web Archiving Essentials

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WARCs? WORMs? Is this a lost installment of the Lord of the Rings? Unfortunately, no. Rather, WARC and WORM are abbreviations that you should be familiar with if you’re maintaining digital archives for regulatory compliance,...more

Hanzo

How to Archive Instagram, LinkedIn, Facebook, Twitter, and Social Media for Regulatory Compliance

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When you need information, where do you go? For the majority of people today, the answer involves a smartphone and social media. From Facebook and LinkedIn to Instagram, Twitter, and even YouTube, social media is...more

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