Alyssa Scruggs

Mintz

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Latest Posts › Recordkeeping Requirements

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Don’t Text and Trade: Regulators Crack Down on the Use of Improper Communication Channels

Registered reps beware: your personal device or messaging account is not the right place to conduct your business affairs, and regulators have made clear that they will not look the other way. In particular, the Financial...more

6/21/2023 / Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934

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Alyssa Scruggs

Mintz

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Latest Posts › Recordkeeping Requirements

Don’t Text and Trade: Regulators Crack Down on the Use of Improper Communication Channels

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