Goldman Sachs and Citadel Securities settle SEC recordkeeping charges
SEC repeats its warnings to firms about the importance of record retention.
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Disciplinary decisions issued July 4 – 31, 2026.
SEC Rule 17a-4(j)
Every member, broker and dealer must be able to promptly provide legible, true, complete, and current copies that are required to the be preserved.
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
ECFR Title 17 Section 240.17a-4Overview
Rules in This Collection
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Further Reading
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At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.
A security checklist for regulated Industries.
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Disciplinary decisions issued January 31 – February 6, 2026.
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FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
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Disciplinary decisions issued January 24 – 30, 2026.
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FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
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Disciplinary decisions issued January 1 – 16, 2026.
