Books and Records

Goldman “only completed the newly developed ESG questionnaires for all positions after securities were already selected”

This is the proposed change to Investment Company Act's books and records rule proposed by the SEC in Nov 2022

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

NorthPoint Compliance grants RCW permission to share its books and records table

The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants

"Some commenters suggested that the SEC provide even greater flexibility by imposing only a high-level requirement for “appropriate systems and controls.” However, we must be able ...

"Notwithstanding my concerns, on balance, I support today’s amendments as important updates that provide useful alternatives to WORM for records preservation"

"I view this as an initial step toward a truly principles-based, technologically neutral future where our registrants are free to find the best solutions available ...

"Today’s rule amendments would facilitate the SEC’s ability to examine and inspect records consistent with modern technology. These recordkeeping requirements also may reduce some firms’ ...

"To catch up with rapid technological change, the Commission is modernizing its recordkeeping rules"