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Artificial Intelligence › Data Privacy › Financial Industry Regulatory Authority (FINRA)

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

Goodwin

FINRA Publishes Metaverse Report and Requests Industry Comments

Goodwin on

FINRA’s Office of Financial Innovation published a report on “The Metaverse and the Implications for the Securities Industry” to raise awareness among its member firms and the broader securities industry and seek industry...more

Orrick, Herrington & Sutcliffe LLP

FINRA issues regulatory guidance on members using generative AI tools

Orrick, Herrington & Sutcliffe LLP on

Recently, FINRA reminded member firms that existing rules and guidance apply to the use of artificial intelligence (AI), such as generative AI tools, just as they would with any other technology or other tools. FINRA noted...more

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