United States: The Latest Settlements In The SEC's 'Off-Channel' Communications Sweep: What This Means And What's Next - Akin Gump Strauss Hauer & Feld LLP
Wednesday, 4 October 2023 Last week, the SEC announced settlements with 10 broker-dealers and affiliated investment advisers in connection with their failures to maintain and preserve electronic "off-channel" communications.
On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) issued a final rule amending the so-called "Names Rule" (found here)... Mondaq
On October 19, 2023, the Federal Communications Commission ("FCC" or "Commission") voted to begin the process of reinstating a set of rules, repealed in 2017... Mondaq
On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) issued a final rule amending the so-called "Names Rule" (found here) that is "designed... Mondaq