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
In order to discourage investment advisers, broker-dealers and investment companies from engaging in any “tricks,” the SEC’s Division of Examinations has published a treat, in the form of its 2025 Examination Priorities (the...more
10/22/2024
/ Artificial Intelligence ,
Asset Management ,
Broker-Dealer ,
Capital Markets ,
Emerging Technologies ,
Investment Adviser ,
Investment Firms ,
Private Funds ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The regulation of broker-dealer communications is delegated to the Financial Industry Regulatory Authority, Inc. (FINRA), while investment adviser advertisements are regulated directly by the US Securities and Exchange...more
11/20/2023
/ Asset Management ,
Broker-Dealer ,
Disclosure Requirements ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investors ,
Mutual Funds ,
Private Funds ,
Securities and Exchange Commission (SEC)