Expect Focus - Volume I, January 2023

Scott Abeles, Enrique Arana, Scott Byers, Patricia Carreiro, Richard Choi, Justin Chretien, Gary Cohen, W. Thomas Conner, Robert DiUbaldo, Stephanie Fichera, Todd Fuller, Ann Began Furman, Brendan Gooley, Jason Gould, Clifton Gruhn, Jeanne Kohler, William Kotapish, Stephen Kraus, Thomas Lauerman, Julianna Thomas McCabe, Thomas Morante, Jason Morris, Mark Neubauer, Brooke Patterson, John Pitblado, Robert Shapiro, Thomas Sjoblom, R. Jeffrey Smith, Irma Reboso Solares, Erin VanSickle, Jeffrey Williams, Kirsten Wolfford, Michael Wolgin, Edmund Zaharewicz
Carlton Fields
Contact
LinkedIn
Facebook
X
Send
Embed

More than 25 years have elapsed since the SEC adopted Exchange Act Rule 17a-4(f) governing electronic recordkeeping by broker-dealers. In an effort to update the rule to reflect “technology neutral” concepts, the SEC adopted amendments to the rule that became effective on January 3, 2023.

Please see full publication below for more information.

View PDF
Download PDF [5048KB]
Email
Report

LOADING PDF: If there are any problems, click here to download the file.
Send Report

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Carlton Fields | Attorney Advertising

Written by:

Carlton Fields
Carlton Fields
Contact
more
less

Carlton Fields on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign Up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
Custom Email Digest
- hide
- hide