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Statement On Final Rule Amendments To Electronic Recordkeeping Requirements, SEC Chair Gary Gensler, Oct 12, 2022

<p><span>Today, the Commission will consider whether to adopt final rule amendments to modernize the electronic recordkeeping requirements for intermediaries such as broker-dealers and security-based swap dealers. I am pleased to support these rule amendments because, if adopted, these updates would bring the Commission&rsquo;s electronic recordkeeping requirements in line with technological innovation.</span></p>

MIL-OSI USA: SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft

MIL-OSI USA: SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
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