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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.
This paper provides an overview of key proposals and final rules issued by the SEC during the first quarter of 2023.
As the first quarter closes out without a final SEC climate disclosure rule, read on for the latest ESG regulation and financial statement…
The SEC has released additional guidance on the newly effective pay versus performance disclosure rule. Read on for more SEC insights.
The SEC has approved a proposal to significantly expand investor protection on advisory client assets. Read on for details.
On February 15, 2023, the SEC voted three to two to approve a final rule reducing the settlement cycle for securities trades from two…
The SEC’s Division of Examinations has issued its 2023 Examination Priorities. Read on for details on the new 2023 focus areas.