New SEC Recordkeeping Requirements for Broker-Dealers and Related Compliance Considerations

The SEC is increasingly focused on recordkeeping requirements and recently adopted amendments to Exchange Act Rule 17a-4. A panel of experts will discuss compliance considerations in this area, including significant recent SEC and CFTC enforcement actions related to social media and text recordkeeping lapses. (5/23/2023)

Questions? Inquiries about program materials? Contact Alan I. Johnson at ajohnson@bostonbar.org”