Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
ECFR Title 17 Part 275
SIFMA urges SEC to modernize communication recordkeeping rules
SIFMA said these rules need to be redrafted so firms can "more effectively manage their relationships with clients through seamless and modern communication."
SEC releases 2026 regulatory agenda, with crypto at its center
With this 2026 rulemaking agenda, the SEC teases its ideas around modifying some of its bedrock rules, particularly to accommodate the digital asset sector.
Ballek did not admit wrongdoing in connection with the regulator's claims she modified company records that were part of an SEC examination.
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
SEC's latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.
