The number of securities lawsuits have proliferated across various industries since the onset of the COVID-19 outbreak. These filings arose from alleged concealed COVID-19 threats, misleading pandemic-related treatments and services, and inadequate disclosure of the pandemic's impact on financial operations and prospects.
Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do
TKG2021-03-23T01:03:32-04:00Our modern institution is interested in cultivating an environment where young students can come together and learn in a creative and flexible environment. We work collaboratively with our students to achieve outstanding results.
Broker-Dealer Enforcement Trends: Exploring Regulatory Challenges and Compliance Issues
Joenel2022-09-12T05:59:04-04:00The Securities and Exchange Commission (SEC) has proposed an amendment on the recordkeeping requirements for broker-dealers. The new rule asks for the retainment of electronic records in an exclusively non-rewritable and non-erasable format which is also known as write once, read many (WORM). However, the proposal would only apply prospectively, creating burdens for financial organizations in keeping WORM records that have been in existence at the time of the rule adoption.