SEA 1934 Rule 18a-6
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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.”
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SEC proposes to strengthen cybersecurity requirements
New rules are intended to protect the wider securities ecosystem and will apply to most market participants.
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Gensler seeks to modernize recordkeeping with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. What do they mean, and how can firms prepare?