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Artificial Intelligence Regulatory Oversight Broker-Dealer

Faegre Drinker Biddle & Reath LLP

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

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

McGuireWoods LLP

FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions

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The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such...more

SEC Compliance Consultants, Inc. (SEC³)

Compliance Roundup for April 5, 2024

Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more

Wiley Rein LLP

SEC Chairman Critiques AI: Compares Faulty AI to "Hallucinogenic Mushrooms" and Predicts Regulation and Oversight

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Federal regulators continue to target Artificial Intelligence (AI), using colorful rhetoric to signal skepticism and justify regulatory oversight. In recent remarks addressing the use of AI in financial markets, SEC Chairman...more

WilmerHale

FINRA’s 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need to Know

WilmerHale on

On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...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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