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SEC Roundup

December 13, 2022


Nick Morgan

Video series

Partners Nick Morgan and Tom Zaccaro host "SEC Roundup," a video series focusing on updates from the U.S. Securities and Exchange Commission with various feature guests from within the firm and the industry. Check back regularly for focused conversations, takeaways, outlooks and highlights on all things related to the SEC.

Latest Episode

Episode 37: Will Ephemeral Messaging Reappear on the SEC's 2023 Agenda?

After imposing an eye-watering $1.8 billion in penalties against a dozen broker-dealers earlier this year in connection with an alleged failure to maintain and preserve certain “off channel” electronic communications, the SEC has given every indication that this may only be the beginning of its efforts in this area.  Listen in as Tom and Nick talk with Paul Hastings partner Avi Weitzman regarding the details involved, how firms can protect themselves, and what to expect from the SEC in this area in 2023.

Resource: https://www.law.com/newyorklawjournal/2022/11/10/wall-street-sweep-handling-personal-devices-ephemeral-messaging-and-privacy-rights/

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