A quick review of SEC and FINRA regulatory exam priorities for 2025
Here are my takeaways from the SEC and FINRA's 2025 exam priorities, focusing on investment advisers, AI, Reg S-P, Reg BI, and...
A new era: understanding the Jarkesy and Loper-Bright decisions
Supreme Court rulings in SEC v. Jarkesy and Loper-Bright Enterprises, Inc. v. Raimondo could redefine financial services...
Looking ahead: What to expect in 2025
Here are the regulatory changes I anticipate in 2025 for the SEC New Marketing Rule, AI investment advice, crypto, ESG, and more.
Q4 wraps up with SEC Exam Priorities and Risk Alert
In Q4 2024, the SEC issued a Risk Alert and released its 2025 Exam Priorities, both of which signal what might be regulatory focus...
Enforcements are the theme of the quarter
In Q3 2024, the SEC and FINRA focused on social media marketing enforcements, emphasizing transparency and accuracy to protect...
What Financial Advisors can learn from the SEC's Marketing Rule enforcement
In enforcing the Marketing Rule, the SEC has focused on transparency and factuality regarding conflicts of interest, third-party...
Q2 2024 roundup: three regulatory hotspots
Generative AI, AML scrutiny, and loan misrepresentations were some of the regulatory hotspots this quarter.
Marketing regulatory principles transcend products and jurisdictions
From securities to life insurance, marketing regulations align across states and products and focus on promoting truthfulness and...
Thoughts on FINRA's 2024 Annual Conference as a panelist & attendee
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
Q1 2024 regulatory roundup: all things AI and enforcement
Q1 saw continued regulatory focus on artificial intelligence, with recent enforcements indicating AI is a regulatory priority.
Lessons learned in AI risk management from Compliance Week 2024
The hot topic at Compliance Week 2024 was AI risk management. To combat AI risks, compliance officers can implement frameworks,...
The EU AI Act has passed: Now what?
The EU AI Act is a signal to the world to pay attention to AI regulation. Here are the implications I see for firms worldwide.