Blog FinReg + Policy Watch November 15, 2022

SEC Revamps Broker-Dealer Recordkeeping Requirements; “Audit Trail” Alternative Replaces “WORM” Format

Our recent client alert discusses the new broker-dealer recordkeeping requirements for broker-dealers.

The post SEC Revamps Broker-Dealer Recordkeeping Requirements; “Audit Trail” Alternative Replaces “WORM” Format appeared first on FinReg + Policy Watch.