On October 12, 2022, the SEC issued a final rule modernizing electronic record-keeping requirements for broker-dealers, security-based swaps dealers, and major security-based swaps participants. For broker-dealers, the compliance date is six months after Federal Register publication. This article focuses on only the broker-dealer requirements.
SEC Updates Broker-Dealer Record-Keeping Rules
SEC • November 14, 2022
Brush up on the SEC’s final rule modernizing broker-dealer electronic record-keeping requirements.
