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Mayer Brown

FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence (AI) and Large Language Models

Mayer Brown on

On June 27, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 24- 09 (the “Notice”) reminding member firms that FINRA’s rules and the securities laws apply to the use of artificial...more

Bressler, Amery & Ross, P.C.

Private Placements Coming Under Increased Scrutiny

Bressler, Amery & Ross, P.C. on

On February 4, 2021, New Jersey Attorney General Grewal announced a New Jersey Bureau of Securities action against GPB Capital Holdings, LLC (“GPB”) its owners, and affiliated companies for an alleged $1.8 billion...more

Katten Muchin Rosenman LLP

FINRA Provides Guidance on Liquidity Risk Management Practices

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-33 to provide guidance on liquidity risk management practices for senior management and risk managers to consider and implement....more

Morrison & Foerster LLP

Structured Thoughts: News for the financial services community, Volume 5, Issue 9

Morrison & Foerster LLP on

In This Issue: - What to Expect in 2015 - EU Regulatory Agenda: Into 2015 - FINRA Issues Report Relating to its Communication Rules - Structured Product Offerings and RIAs - The SEC, Investment Funds and...more

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