News & Analysis as of August 14, 2025

Financial Industry Regulatory Authority (FINRA)

+ Follow

A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on 2/14/2025

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

FINRA Publishes Metaverse Report and Requests Industry Comments

Goodwin on 10/28/2024

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

Zooming In on AI - #6: AI under financial regulations in the U.S., EU and U.K.

A&O Shearman on 10/8/2024

Many governments are grappling with the question of how to regulate artificial intelligence to ensure it is adopted safely and used responsibly without hampering innovation. Governments have generally indicated similar...more

FINRA Issues 2024 Annual Regulatory Oversight Report

Carlton Fields on 1/19/2024

FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic areas....more

SEC and FINRA Provide Guidance Regarding Cybersecurity, Artificial Intelligence, and Digital Assets

Perkins Coie on 8/14/2020

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) made several regulatory announcements this summer relating to cybersecurity, artificial intelligence (AI), and digital...more

FINRA Publishes Report Detailing Uses of AI in the Securities Industry

Perkins Coie on 6/21/2020

On June 10, 2020, the Financial Industry Regulatory Authority (FINRA) issued a summary report regarding the existing and emerging uses of artificial intelligence (AI) by securities industry market participants. The report,...more

6 Results

View per page

Page: of 1