United States: Comment Deadline Set For SEC-Proposed Changes To Electronic Recordkeeping Requirements - Cadwalader, Wickersham & Taft LLP

Mondaq

08 Dec 2021 0 shares 2 views

Mondaq

Published 08 Dec 2021

Comments on an SEC proposal to amend broker-dealer and security-based swap dealer electronic recordkeeping requirements are due by January 3, 2022.

United States: Firm Settles SEC And CFTC Recordkeeping Violations From Use Of Personal Communications - Cadwalader, Wickersham & Taft LLP

Mondaq 28 Dec 2021

A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to..