To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
SEC Commissioner Peirce applauds modernizing B-D records
"Broker-dealers cannot use static records for their own operational and compliance purposes, so many firms have two systems. Requiring broker-dealers to maintain a wholly separate, redundant, ossified recordkeeping system that can capture only static snapshots has provided questionable benefits at great cost"
