![SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures](https://www.lawfirmchronicle.com/wp-content/uploads/2022/09/SEC-C-BTMy1O.jpeg)
SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
Sep 27, 2022
The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.…
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