Tiffany Magri
ENTRIES BY Tiffany Magri

The Modernization of SEC 17a(4) Recordkeeping Rules and the Business Impact for Financial Services

Records and audit trails must be furnished to the SEC in a reasonably usable digital format that’s compatible with systems for assessing and reading digital records.

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Regulatory Results From 2021: SEC and FINRA Gain Steam Heading into the New Year

A review of SEC and FINRA enforcement actions and what to expect from regulators regarding oversight and retention of communications in 2022.

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Tiffany Magri

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