Tracker record · Federal · Order
Morgan Stanley 2022 SEC data-disposal order
The SEC's 2022 settled administrative order concerning data-disposal failures, illustrating how disposal and vendor-oversight duties are enforced in the securities context.
Status
- Legal status
- Issued (September 20, 2022; $35 million penalty)
- Allegation or finding
- Finding or order
- Enforceability
- Binding per its terms
- Law checked through
- October 12, 2026
- Primary source
- https://www.sec.gov/litigation/admin/2022/34-95832.pdf
- Citation
- SEC order, Morgan Stanley Smith Barney LLC; Regulation S-P safeguards and disposal rules
- Source
- SEC Press Release 2022-168 (September 20, 2022)
Related guides
- Legal Holds, Deletion, and Defensible Disposition
- Public Company and Sector Cybersecurity Disclosure
- Processors, Data Sharing, Vendor Contracts, and Diligence