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
2/26/2025
/ Artificial Intelligence ,
Broker-Dealer ,
Cybersecurity ,
Data Security ,
Fraud ,
Investment ,
Regulation Best Interest ,
Regulatory Oversight ,
Risk Management ,
Scams ,
Securities Regulation ,
Technology ,
Third-Party Risk
We are probably still years away from Wall Street being overrun by actual robots. Nonetheless, artificial intelligence (AI) tools are divisively integrating into all aspects of society—from the classroom to the courtroom....more
8/9/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Comment Period ,
Conflicts of Interest ,
Investment ,
Policies and Procedures ,
Proposed Regulation ,
Public Comment ,
Regulatory Agenda ,
Risk Management ,
Robo-Advisors ,
Robotics ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Technology Sector
The Broker-Dealer Regulation & Litigation Digest is a periodic compilation of the most read blog posts published on the Broker-Dealer Law Blog during the last few months. Here you can catch up on what you missed or re-read...more
On March 30, 2022, the SEC issued “Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Account Recommendations for Retail Investors” (SEC Retail Standards Bulletin). This guidance builds on prior...more
4/13/2022
/ Broker-Dealer ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Fiduciary-Standards ,
Investment ,
Investment Adviser ,
Investors ,
IRA Rollovers ,
PTEs ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct