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Data Privacy Securities Regulation

Carlton Fields

FINRA’s Blueprint for the Metaverse

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In October 2024, FINRA released its blueprint for the securities industry’s use of the metaverse — the metaverse report. The metaverse, often framed as “the next evolution of today’s internet,” is a loosely defined term used...more

Pierce Atwood LLP

2024 Trends in First Circuit Class Actions

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We are pleased to present our final 2024 update to the New England and First Circuit Class Action Tracker, which focuses on class action filings in state and federal courts within the boundaries of the First Circuit in New...more

MoFo Tech

AI Trends for 2025 - Regulatory Obligations Persist in the Face of Broker-Dealers’ Use of Gen AI

MoFo Tech on

As generative artificial intelligence (Gen AI) tools rapidly evolve in 2025, FINRA member broker-dealers will be presented with both promising opportunities for investors and challenges in satisfying regulatory obligations....more

Seyfarth Shaw LLP

Commercial Litigation Outlook - 2025

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Last year’s Commercial Litigation Outlook was dominated by the promise and peril that AI poses to myriad industries. No doubt, the evolution of AI in the last year has been significant, and it is still a material...more

Sheppard Mullin Richter & Hampton LLP

AI and Blockchain – 1+1 =3

Individually, AI and blockchain are among the hottest, most transformative technologies. Collectively, they are incredibly synergistic – hence the 1+1=3 concept in the title. We are seeing more examples of how the two will...more

Morrison & Foerster LLP

Above Board: Managing AI in the Boardroom

In this episode of the Above Board podcast, hosts Scott Lesmes and Haima Marlier are joined by Morrison Foerster partners and legal advisors to leading artificial intelligence (AI) companies Marian Waldmann Agarwal and Justin...more

Carlton Fields

SEC 2025 Examination Priorities Shine Light on AI

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Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more

Wyrick Robbins Yates & Ponton LLP

EDGAR Next: Questions and Answers

This year, the Securities and Exchange Commission (the “SEC”) is rolling out significant technical changes to its electronic filing system, EDGAR (which stands for Electronic Data Gathering, Analysis and Retrieval), aimed at...more

Vinson & Elkins LLP

Watch What You Say: SEC Enforcement Scrutinizes Cybersecurity Incident Disclosures

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On January 13, 2025, the Securities and Exchange Commission (“SEC”) filed a settled enforcement action against Ashford Inc. (“Ashford” or “the Company”), a company that provides products and services to the real estate and...more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside the Courts – An Update From Skadden Securities Litigators - December 2024

Key Points - - During its 2024 term, the U.S. Supreme Court is poised to provide important guidance on the Private Securities Litigation Reform Act’s (PSLRA’s) particularity requirement in NVIDIA Corp. v. E. Ohman J:or...more

Troutman Pepper Locke

SEC Issues Additional Guidance Regarding Cybersecurity Incident Disclosure

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On June 24, the staff of the U.S. Securities and Exchange Commission's (SEC) Division of Corporation Finance (Division of Corporation Finance) released five new Compliance & Disclosure Interpretations (C&DIs) relating to the...more

Mayer Brown

2023 Consumer Financial Services Highlights

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REGULATORY, COMPLIANCE & LICENSING - Mayer Brown's exceptional breadth of knowledge and experience helps consumer finance and mortgage finance entities navigate the broad range of US federal and state laws impacting their...more

Stinson - Corporate & Securities Law Blog

SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies

The SEC adopted final rules requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy,...more

Carlton Fields

SEC Stirs Its Pot of Cybersecurity Preparedness and Response Proposals

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The SEC remains laser-focused on cybersecurity, with the agency recently reopening the comment period on a sweeping rule for investment advisers and investment companies. In addition, the SEC issued proposed enhancements to...more

Burr & Forman

SEC Proposes Cybersecurity Disclosure Rule For Public Companies

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Continuing its active regulatory agenda, the Securities and Exchange Commission on March 9, 2022, proposed new cybersecurity regulations for reporting public companies. Although couched as a series of “disclosure”...more

Latham & Watkins LLP

A Look Ahead at the Biden Administration’s Regulatory and Enforcement Priorities

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With the new administration poised to take office, public and private companies will need to consider how President Biden’s regulatory, enforcement, and legislative priorities will affect their businesses. During this...more

Robinson & Cole LLP

Data Privacy + Cybersecurity Insider - May 2019 #4

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The North American Securities Administrators Association (NASAA) this week approved an information security model rule package aimed at improving the cybersecurity posture of the 17,543 state-registered advisers. ...more

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