Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants: SEC FINAL Rule RIN 3235-AM76

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Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap ParticipantsSEC FINAL Rule RIN 3235-AM76
The Securities and Exchange Commission (“Commission”) is adopting amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants. The amendments modify requirements regarding the maintenance and preservation of electronic records, the use of third-party recordkeeping services to hold records, and the prompt production of records. The Commission also is designating broker-dealer examining authorities as Commission designees for purposes of certain provisions of the broker-dealer record maintenance and preservation rule.

ASIN ‏ : ‎ B0BL9YJF2P
Publisher ‏ : ‎ Independently published (November 2, 2022)
Language ‏ : ‎ English
Paperback ‏ : ‎ 148 pages
ISBN-13 ‏ : ‎ 979-8361850273
Item Weight ‏ : ‎ 15.8 ounces
Dimensions ‏ : ‎ 8.5 x 0.34 x 11 inches

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