Header graphic for print
The Securities Edge Securities Blog for Middle-Market Companies

Category Archives: records retention

Subscribe to records retention RSS Feed

Signed, sealed, delivered – and retained

Posted in records retention, SEC, SEC Enforcement

Those of us who have been around long enough to remember paper SEC filings may recall the requirement to file one manually signed copy of Exchange Act filings and, if memory serves me correctly, three manually signed copies of Securities Act registration statements.  When EDGAR was implemented, we hoped to be spared the often last-minute… Continue Reading