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US recordkeeping requirements for broker-dealers, security-based swap dealers modernized by SEC

( October 12, 2022, 17:10 GMT | Official Statement) -- MLex Summary: The US Securities and Exchange Commission approved rules to modernize electronic recordkeeping requirements for broker-dealers and security-based swap dealers to help adapt to technological changes over the last two decades. One change would give firms a way to preserve electronic records so they can be recreated if an original record is altered or erased. The new rules also ease SEC examinations of broker-dealers, security-based swap dealers and companies that are major security-based swap participants....

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