SIFMA and SIFMA AMG Comment on the SEC’s Proposed Rules for BDs and RIAs Among its many uses in the financial world, technology can improve operational efficiencies, reduce risk and…
On July 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules (the “Proposed Rules”) that would require broker-dealers and investment advisers (collectively, “firms”) to evaluate their use…
On March 15, 2023, the U.S. Securities and Exchange Commission (the “SEC”) released a suite of proposed new rules (the “Proposed Rules”) that include: Proposed new cybersecurity rules for broker-dealers,…