Modernization of SEC 17a-4: What Does it Mean for Your Firm

The SEC recently updated Rule 17a-4 to address how firms maintain, preserve and produce electronic records. The amendment also addresses the use of third-party recordkeeping services. In this podcast, we’re joined by Therese Craparo and Anthony Diana, partners at Reed Smith, LLC, to discuss what firms need to do to stay compliant and avoid hefty fines in the face of evolving communication trends, habits and technologies.