Regulatory ripple effects abound in Q1
Explore the recent regulatory changes affecting the SEC and CFPB, and their implications for financial services and consumer...
Our latest brain waves on AI for marketing and compliance.
Explore the recent regulatory changes affecting the SEC and CFPB, and their implications for financial services and consumer...
This blog compares Regulation Z's consumer credit marketing rules to securities regulations, highlighting shared principles across...
Here are my takeaways from the SEC and FINRA's 2025 exam priorities, focusing on investment advisers, AI, Reg S-P, Reg BI, and...
Supreme Court rulings in SEC v. Jarkesy and Loper-Bright Enterprises, Inc. v. Raimondo could redefine financial services...
Here are the regulatory changes I anticipate in 2025 for the SEC New Marketing Rule, AI investment advice, crypto, ESG, and more.
In Q4 2024, the SEC issued a Risk Alert and released its 2025 Exam Priorities, both of which signal what might be regulatory focus...
In Q3 2024, the SEC and FINRA focused on social media marketing enforcements, emphasizing transparency and accuracy to protect...
In enforcing the Marketing Rule, the SEC has focused on transparency and factuality regarding conflicts of interest, third-party...
Generative AI, AML scrutiny, and loan misrepresentations were some of the regulatory hotspots this quarter.
From securities to life insurance, marketing regulations align across states and products and focus on promoting truthfulness and...
As an attendee and panelist at this year's FINRA Annual Conference, my event highlights included sessions on AI and connection...
Q1 saw continued regulatory focus on artificial intelligence, with recent enforcements indicating AI is a regulatory priority.