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”
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