Is the SEC Coming for Your Texts? SEC’s New Enforcement Director Telegraphs a Warning to Registrants About Improper Use of Personal Devices for Business-Related Communications
Data Matters
OCTOBER 13, 2021
Rule 17a-4 under the Securities Exchange Act requires broker-dealers to maintain a broad range of records for a period of not less than six or three years, depending on the category. It is not uncommon for the SEC to charge books and records violations in enforcement actions against registrants.
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