SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023
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SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
February 16, 2023
Recordkeeping Cases Ensnare Large Brokers, RIAs Next
On the heels of a group of recent settlements of charges relating to record-preservation practices at large brokerage firms, the SEC is turning its attention to investment advisers – conducting an enforcement sweep of record-retention practices at large advisers of all types.
October 19, 2022
New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules
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May 13, 2022
Shortened Settlement Cycle on the Horizon
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February 18, 2022
Electronic Communications Conundrum: Risks vs. Regulatory Obligations
16 steps to take in light of the SEC’s enforcement case for supervisory and recordkeeping failures stemming from the use of personal devices for business communications.
January 26, 2022
NY Electronic Recordkeeping Enforcement Action Sparks Wider SEC Probe
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December 21, 2021
SEC Charges Broker-Dealer for Failing to Retain Text Messages
SEC Charges Broker-Dealer for Failing to Retain Text Messages October 13, 2020 In a case that may have implications for investment advisers as well, the SEC has fined a...
October 13, 2020