Advancements in artificial intelligence (AI) continue to reshape the financial services industry, with the growing popularity of generative Al (GenAl) tools prompting increased attention from US regulators. At the end of...more
2/7/2025
/ Algorithms ,
Artificial Intelligence ,
CFTC ,
Commodity Exchange Act (CEA) ,
Compliance ,
Data Security ,
Financial Services Industry ,
FinTech ,
Machine Learning ,
NIST ,
Regulatory Requirements ,
Risk Management
Today, the SEC published in the Federal Register a proposed notice of an exemptive order (the “Proposal”) that would, subject to limitations and conditions discussed below, exempt certain individuals seeking to find investors...more
10/14/2020
/ Broker-Dealer ,
Comment Period ,
Exemptive Orders ,
Finders ,
Investors ,
Municipal Securities Issuers ,
Public Finance ,
Registration Requirement ,
Regulatory Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Today, the SEC published in the Federal Register a proposed notice of an exemptive order (the “Proposal”) that would, subject to limitations and conditions discussed below, exempt certain individuals seeking to find investors...more