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Securities Regulation › Policies and Procedures › Financial Services Industry

King & Spalding

FINRA Proposes Amendments to The Gifts Rule

King & Spalding on

On June 11, 2025, FINRA proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) (the “Gifts Rule”) that would raise the annual gift limit per recipient to $250 from $100, as well as codifying...more

Mayer Brown

FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence (AI) and Large Language Models

Mayer Brown on

On June 27, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 24- 09 (the “Notice”) reminding member firms that FINRA’s rules and the securities laws apply to the use of artificial...more

Stikeman Elliott LLP

OSC Publishes Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures

Stikeman Elliott LLP on

The Ontario Securities Commission (“OSC”) recently published OSC Staff Notice 52-724 Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures (the “Notice”). The Notice summarizes...more

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