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Artificial Intelligence › Data Security › Broker-Dealer

K&L Gates LLP

United States: SEC’s Approach to Artificial Intelligence Begins to Take Shape

K&L Gates LLP on

On 27 March 2025, the US Securities and Exchange Commission (SEC) hosted a roundtable on Artificial Intelligence (AI) in the financial industry that was designed to solicit feedback on the risks, benefits and governance of...more

Faegre Drinker Biddle & Reath LLP

What’s New with FINRA’s Recent 2025 Regulatory Oversight Report

Faegre Drinker Biddle & Reath LLP on

2025 is here, and so is FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which provides firms with insight into FINRA’s findings from recent observations and...more

White & Case LLP

AI Legal News Summer Roundup: Edition 3

White & Case LLP on

Welcome to the third edition of our AI Legal News Summer Roundup! After five class actions were filed between June 28 and July 11 (as reported on in our first edition of this series), on July 21, another class action lawsuit...more

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