Home Electronic records

Keyword: Electronic records

33 results found
Magnifying glass on documents

Regulators aim to address concerns about retail investor protection

rules and regulations

Firms charged over unapproved off-channel communications

Off-channel communications hamper regulatory oversight

Disclosure form

Move aims to reduce the burden of printing and mailing disclosures to investors

Regulators to marry changes to disclosure rules with electronic access

Using phone for finances

Another 10 firms sanctioned for extensive recordkeeping violations

Regulators fined firms a total US$549 million for record-keeping failures

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

Changes aim to adapt regulator's requirements to tech innovation

MFDA to continue accepting documents from dealers in electronic format

mature woman with tablet

SIFMA leads push to make electronic communications standard