News & Analysis as of

Securities and Exchange Commission (SEC) › E-Signatures › Document Retention Policies

Mayer Brown Free Writings + Perspectives

SEC Grants No-Action Relief from Rule 17a-4 for Reliance on Central Registration Depository System to Maintain Electronically...

Mayer Brown Free Writings + Perspectives on

On September 5, 2025, the Staff of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (“SEC”) granted no-action relief that allows members of the Financial Industry Regulatory Authority, Inc....more

Bass, Berry & Sims PLC

SEC Adopts Rules Permitting Use of Electronic Signatures and Provides Further COVID-19 Relief

Bass, Berry & Sims PLC on

On November 17, in response to a formal rulemaking petition that garnered support from nearly 100 public companies, the Securities and Exchange Commission (SEC) issued a final rule amending Regulation S-T and the Electronic...more

Mintz - Securities & Capital Markets...

SEC Adopts Rules to Allow the Use of Electronic Signatures

Mintz - Securities & Capital Markets... on

On November 17, 2020, the Securities and Exchange Commission (the “SEC”) adopted amendments to certain rules and forms under the Securities Act of 1933, as amended, the Securities Exchange Act of 1934, as amended, and the...more

Orrick, Herrington & Sutcliffe LLP

SEC Staff Offers Relief from Manual Signature Retention Requirements for Electronic Filings Due to COVID-19

Orrick, Herrington & Sutcliffe LLP on

The staff of the Division of Corporation Finance, the Division of Investment Management, and the Division of Trading and Markets has issued a new statement offering relief from the authentication document retention...more

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