SIFMA - Securities Industry and Financial Markets Association Inc.
10/15/2025 | Press release | Distributed by Public on 10/15/2025 11:11
Modernizing Communications and Record Retention Rules for Broker-Dealers,Investment Advisers, and Security-Based Swap Dealers (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps to modernize the communications and records retention rules applicable to broker-dealers, investment advisers, and security-based swap dealers, including Rules 17a-4 and 18a-6 under the Securities Exchange Act of 1934 and Rule 204-2(a)(7) under the Investment Advisers Act of 1940.
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